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  • (-) REGULATION AND LEGISLATION (629)

Author

  • HAZEL BRADFORD (282)
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SHOWING RESULTS 1 - 25 OF 629
  • Standards-of-conduct rules approved along party lines

    June 10, 2019 01:00:00 AM

    SEC standards-of-conduct package draws praise and criticism following its passage June 5.

  • Investors hail SEC guidelines on exchanges

    June 10, 2019 01:00:00 AM

    Exchanges are challenging the SEC on a transaction fee pilot program and recent fee rulings, but the agency is undeterred.

  • Senate confirms new CFTC chairman

    June 05, 2019 01:00:00 AM

    The Senate confirmed Heath P. Tarbert to serve as chairman of the Commodity Futures Trading Commission.

  • SEC requires more information on exchange fee increases, starts fee pre-pilot

    May 22, 2019 01:00:00 AM

    The SEC said stock exchanges will have to provide more details before being allowed to raise fees or offer discounts to some traders.

  • FCA endorses new standards for disclosure of investment fees

    May 22, 2019 01:00:00 AM

    The U.K.'s FCA endorsed the Cost Transparency Initiative's templates, which are designed to help standardize disclosure of investment fees.

  • Mnuchin says no plan to change carried interest tax treatment

    May 22, 2019 01:00:00 AM

    Treasury Secretary Steven Mnuchin said Wednesday that the administration has no plans to halt the preferential tax treatment of carried interest profits.

  • SEC roundtable on quarterly reporting coming this summer

    May 21, 2019 01:00:00 AM

    The impact of short-term quarterly reporting rules on capital markets will be discussed this summer at an SEC staff roundtable.

  • EU fines 5 banks $1.2 billion for currency trading collusion

    May 16, 2019 01:00:00 AM

    Five banks agreed to pay the European Union fines totaling $1.2 billion to settle charges of colluding on foreign-exchange trading.

  • IEX backs SEC in market data fee justification case

    May 14, 2019 01:00:00 AM

    IEX Group filed an amicus brief supporting SEC efforts to have other exchanges provide more justification for their market data fees.

  • MiFID II creating more opportunities for active small-, midcap strategies

    May 13, 2019 01:00:00 AM

    MiFID II has left active managers in a sweet spot by elevating the value of their in-house small- and midcap research, sources said.

  • SEC adopts proposal to ease audits for smaller public companies

    May 10, 2019 01:00:00 AM

    The SEC voted to excuse public companies with less than $100 million in revenue from outside audits.

  • Puerto Rico board gets more time to be confirmed by Senate

    May 07, 2019 01:00:00 AM

    A court granted Puerto Rico's federally appointed oversight board two more months to have its authority endorsed by the U.S. Senate.

  • SEC staff working hard to get Reg BI right, chairman says

    May 02, 2019 01:00:00 AM

    The SEC's standards-of-conduct package will protect investors and mitigate confusion in the industry, Chairman Jay Clayton said.

  • DOL guidance down to trickle; enforcement up

    April 29, 2019 01:00:00 AM

    The DOL posted a large increase in enforcement actions in 2018, but has been far less active in providing guidance on hot-button issues.

  • Luxembourg group calls cross-border regulation changes 'restrictive'

    April 23, 2019 01:00:00 AM

    Association of the Luxembourg Fund Industry called European regulation changes to facilitate cross-border fund distribution "restrictive."

  • Stakeholders await SEC's final rule regarding Reg BI

    April 15, 2019 01:00:00 AM

    Stakeholders with a host of backgrounds are awaiting the SEC's final rule on Reg BI, the implications of which remain to be seen.

  • Senate panel calls for more scrutiny of ESG investing

    April 02, 2019 01:00:00 AM

    A Senate panel called for more scrutiny into the use of ESG principles by institutional investors, fund managers and proxy advisory firms.

  • SEC puts transaction fee pilot on hold during court challenges

    March 29, 2019 01:00:00 AM

    The SEC's upcoming transaction fee pilot program was put largely on hold while legal challenges raised by the exchanges are addressed.

  • Investor group calls on SEC for more disclosure on human capital

    March 28, 2019 01:00:00 AM

    The SEC should incorporate human-capital management into its corporate reporting and disclosure regime, an agency subcommittee says.

  • SEC votes to improve public company disclosure, simplify BDC offerings

    March 21, 2019 01:00:00 AM

    The SEC voted to simplify disclosure requirements for public companies, investment consultants and money managers and streamline BDC rules.

  • Trade groups urge changes to proposal on measuring counterparty credit risk

    March 19, 2019 01:00:00 AM

    Financial trade groups urge changes to a proposed rule that would set a new method for calculating the exposure amount of derivatives.

  • SEC's Reg BI proposal draws criticism in House hearing

    March 14, 2019 01:00:00 AM

    Stakeholders told a House subcommittee the SEC's standards-of-conduct proposal needs work before a final rule is issued later this year.

  • SEC to reassess exchange practices and other market structure issues, officials say

    March 11, 2019 01:00:00 AM

    The SEC is to review equity market structure rules and practices to see what can be improved to protect investors and market participants.

  • EC proposes lowering capital requirements for insurance companies with private equity, private debt

    March 11, 2019 01:00:00 AM

    The European Commission proposed lower capital requirements for insurance companies holding private equity and private debt assets.

  • EU agrees to sustainable investment disclosure framework

    March 08, 2019 12:00:00 AM

    The European Parliament and European Union countries agreed on sustainable investment disclosure rules for institutional investors.

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