SEC Reviewing Point-of-Sale Disclosures Beyond Mutual Fund Industry, Schapiro Says
February 15, 2010 in Securities Regulation & Law Report · Leave a Comment
Securities and Exchange Commission is looking at requiring point-of-sale disclosures beyond the mutual fund context to other financial products that are sold to retail investors, such as equity-indexed annuities, Chairman Mary Schapiro said Feb. 5.
SEC Adopts New Rules to Beef Up Framework for Money Market Mutual Funds
February 1, 2010 in Securities Regulation & Law Report · Leave a Comment
The Securities and Exchange Commission Jan. 27 voted 4-1 to adopt new rules to strengthen the regulatory framework for the…
2010 OUTLOOK — SEC REGULATION: Thorny Issues on Regulatory Agenda Could Make for Long Year
January 25, 2010 in Securities Regulation & Law Report · Leave a Comment
This year promises to be a challenging one for the Securities and Exchange Commission, as it prepares to tackle several controversial rule proposals, including those addressing short sales and…
