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Financial regulatory blueprint unveiled
A regulatory blueprint recently issued by the Treasury Department calls for a self-regulatory organization for investment advisers.
SEC moves closer to addressing 12(b)-1 fees
An SEC official last month said that the agency is committed to addressing 12(b)-1 fee reform from the perspective of an investor.
Money fund scrutiny urged
A handful of trade groups have asked the SEC to increase its oversight of money market funds.
Financial regulatory blueprint unveiled
A regulatory blueprint issued by the Department of the Treasury calls for a self-regulatory organization for investment advisers.
Money fund scrutiny urged
A handful of trade groups have asked the SEC to increase its oversight of money market funds.
SEC expected to cap 12(b)-1 fees
Securities regulators are moving closer to proposing limits on the 12(b)-1 fees that investors pay to mutual funds, according to an InvestmentNews report.
Soft-dollar guidance on horizon
The SEC plans to offer guidance to the mutual fund industry for its use of so-called soft dollars, according to a recent InvestmentNews report.
Money fund scrutiny urged
A handful of trade groups have asked the SEC to increase its oversight of money market funds.
SEC expected to limit 12(b)-1 fees
Securities regulators are moving closer to proposing limits on the 12(b)-1 fees that investors pay to mutual funds, according to an InvestmentNews report.
Advisory committee explores financial reporting
The SEC’s Advisory Committee on Improvements to Financial Reporting plans to hold a public meeting March 13-14 in San Francisco.
Regulators mull fund director workload
Securities regulators are exploring the idea of letting mutual fund directors delegate some of their responsibilities, according to a recent InvestmentNews report.
Money fund scrutiny urged
A handful of trade groups have asked the Securities and Exchange Commission to increase its oversight of money market funds.
Soft-dollar guidance on its way
The SEC plans to offer guidance to the mutual fund industry for its use of so-called soft dollars, according to a recent InvestmentNews report.
SEC closer to tackling 12(b)-1 fees
Securities regulators are moving closer to proposing a limit on the 12(b)-1 fees that investors pay to mutual funds, according to an InvestmentNews report.
Reporting standards explored
Securities regulators recently held two round tables to collect feedback on whether to give U.S. companies an option when it comes to preparing their financial statements.
SEC chief supports SOX delay for small firms
Securities and Exchange Commission Chairman Christopher Cox told a congressional committee last month that he wants to give small public companies more time to comply with certain parts of the 2002 Sarbanes-Oxley Act.
Regulators hold reporting-standards discussion
Securities regulators held two roundtables last month to collect feedback on whether to give U.S. companies an option when it comes to preparing their financial statements.
Class-action muni-bond case affirmed
As the U.S. Supreme Court considers whether to uphold a Kentucky court’s ruling that taxing interest on out-of-state municipal bonds is unconstitutional, North Carolina’s highest court has affirmed class-action status in a similar case.
Broadened principal trade rule possible
The Securities and Exchange Commission will “seriously consider” expanding its interim rule governing principal trades, according to a recent InvestmentNews report.
Muni-bond case gets its day in court
The Supreme Court heard oral arguments last month in a case that could affect Section 529 college savings plans.
