21,177 results found

Financial advisers who develop a few common sense, risk-avoidance techniques in their client communications may not only protect themselves from disruptive legal action but will improve their client relationships.

The SEC announced that Securities Exchange Act temporary Rule 608T expired on November 16, 2016.

A FINRA rule proposal extending its current pilot program for reviews of clearly erroneous transactions in exchange-listed securities was published in the Federal Register.

Comments may continue to be submitted to the SEC until January 11, 2019.

SEC amendments to auditor independence rules were published in the Federal Register. Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the "Loan Provision")

The SEC approved a proposal to amend FINRA Rule 7730 to create a new Academic Corporate Bond TRACE Data product consisting of data on historic transactions in corporate bonds that would only be available to institutions of higher education.

The SEC approved a FINRA proposal, as amended, to eliminate or reduce several of the filing requirements applicable to FINRA members' communications with the public pursuant to FINRA Rules 2210...

The SEC final rule allowing all issuers to engage in certain communications in a contemplated initial public offering was published in the Federal Register

The SEC proposal to rescind certain exceptions concerning national market system plan fee changes was published in the Federal Register.

An SEC rule change intended to simplify or eliminate redundant, overlapping, outdated or superseded disclosure requirements was published in the Federal Register.

The SEC requested comments on a FINRA proposal that would amend various FINRA rules to conform to an SEC-proposed amendment to Exchange Act Rule 15c6-1(a).

The SEC requested comments on FINRA proposal to eliminate fees for members who access historical trade data through the FINRA Automated Data Delivery System ("ADDS") website.

The SEC requested comments on a FINRA proposal to amend FINRA Rule 7730.

The SEC requested comment on the effectiveness of the framework governing the names of registered investment companies and business development companies.

According to the meeting synopsis, SEC Chairwoman Mary Jo White and CFTC Chairman Timothy Massad discussed their agencies' strategies for ensuring cyber resiliency in the financial sector.

FINRA announced the effective date of amendments to modify the dissemination protocols for agency debt securities.

FINRA reminded member firms that it will assess and collect a total of $8,309,000 to fund the annual budget of the Governmental Accounting Standards Board ("GASB"). FINRA will collect $2,077,250...