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Hedge fund still awaits disclosure ruling
Activist hedge fund manager Phillip Goldstein still is waiting to hear whether the SEC will exempt his firm from portfolio disclosure rules.
Deadline nears On broker exemption
The Securities and Exchange Commission has until May 14 to appeal a March 30 court ruling that struck down a controversial regulation exempting certain brokers from registering as advisers.
SEC plans 2b-1 fee review
Securities regulators are planning this year to examine mutual funds’ use of 12b-1 fees.
Regs are delayed on betting your life
The National Association of Insurance Commissioners has delayed a vote on its proposal to further limit the use of stranger-owned life insurance, according to published reports.
Supreme Court mum on hitch for 529s
After expecting a decision from the U.S. Supreme Court in February, the college savings plan industry is still waiting to hear whether the high court will review a case that could affect 529 plans.
Hedge fund awaits disclosure ruling
Activist hedge fund manager Phillip Goldstein still is waiting to hear whether the Securities and Exchange Commission will exempt his firm from portfolio disclosure rules. Mr. Goldstein, who won a legal battle over the agency’s hedge fund registration rule last year, argues that his stock holdings are essentially trade secrets.
Labor Department tackling 401(k) fee disclosure
The Department of Labor is considering new regulations to improve disclosure of 401(k) fees for both plan participants and fiduciaries.
Vote on STOLI regs delayed
The National Association of Insurance Commissioners has delayed a vote on its proposal to further limit the use of stranger-owned life insurance, according to published reports.
IRA auto-enrollment bill expected
A handful of congressional lawmakers are expected to renew efforts to require many small businesses to automatically enroll their employees in IRAs, according to a recent InvestmentNews report.
Supreme Court still silent on muni bond case
After expecting a decision from the U.S. Supreme Court in February, the college savings plan industry still is waiting to hear whether the high court will review a case that could affect 529 plans.
Court overturns broker-exemption rule
A federal appeals court on Friday struck down the SEC's so-called broker-dealer exemption rule, which exempted certain brokers from registering as advisers.
No word yet on disclosure-rule challenge
Activist hedge fund manager Phillip Goldstein still is waiting to hear whether the SEC will exempt his firm from portfolio disclosure rules.
Auto IRA enrollment bill expected
A handful of congressional lawmakers are expected to renew efforts to require many small businesses to enroll their employees in IRAs automatically, according to a recent InvestmentNews report.
SEC looks overseas at shareholder access
SEC Chairman Christopher Cox has commissioned a study of how Europe and other foreign jurisdictions deal with shareholder rights, according to a recent report in the London-based Financial Times.
Supreme Court still silent on muni bond case
After expecting a decision from the U.S. Supreme Court last month, the college savings plan industry still is waiting to hear whether the high court will review a case that could affect Section 529 plans.
Regulators tackling EIA status
The SEC is expected soon to determine whether equity index annuities should be classified as securities or insurance products, according to an InvestmentNews report.
ETF approval could quicken
The SEC is working on a rule to help speed up the approval process for new exchange traded funds, according to a published report.
FPA awaits appeals court ruling
The future of the SEC’s controversial broker-exemption regulation continues to rest in the hands of a federal appeals court.
No word given on disclosure-rule challenge
Activist hedge fund manager Phillip Goldstein still is waiting to hear whether the SEC will exempt his firm from portfolio disclosure rules.
Decision coming in municipal bond case
The college savings plan industry should find out this month whether the U.S. Supreme Court will review a case that could affect 529 college savings plans, according to a published report.
