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A single federal uniform standard for governing analyst conflicts of interest should be crafted by the Securities and Exchange Commission in about one year, according to Harvey Goldschmid, commissioner. The [...]

Byline: Peter Rawlings The Securities and Exchange Commissionas proposed diversity standards may create difficulties for chief compliance officers, particularly those at smaller firms, who may need to seek outside help [...]

The Securities and Exchange Commission is considering whether to allow financially sophisticated investors with only moderate wealth to buy significant stakes in startups. The Securities and Exchange Commission is considering [...]

Byline: Hillary Jackson A group of federal financial regulatory agenciesÇ'including the Securities and Exchange CommissionÇ'has proposed joint standards for assessing the diversity policies and practices of the institutions they regulate. [...]

Broker/dealers would spend an average of $8 million each to implement a potential Securities and Exchange Commission plan to impose higher ethical standards on brokers who give financial advice, according [...]

Swiss shipping firm Panalpina Group and Royal Dutch Shell PLC are close to settling foreign-bribery charges related to alleged payments to officials in Nigeria, Saudi Arabia and Kazakhstan to to [...]

Two consumer-advocate members of the Securities and Exchange Commission's Investor Advisory Committee have urged the Commission not to aim for a fiduciary standard that relies on specific rules to determine [...]

Regulatory examinations are not necessarily antagonistic encounters, but dealing with curious visitors holding the power to put your firm in hot water can be...uncomfortable. Regulatory examinations are not necessarily antagonistic [...]

The Securities Industry and Financial Markets Association has endorsed proposed legislation that would require currently unregulated independent municipal financial advisers to register with the Securities and Exchange Commission. Bernard Beal [...]

The Securities and Exchange Commission intends to use new execution statistics as standards in options execution exams when exchanges adopt the stats this fall, according to CR sister publication Wall [...]

A Securities and Exchange Commission report has supported requiring options markets to provide execution quality information in a standardized form. A Securities and Exchange Commission report has supported requiring options [...]

Byline: S.W. & M.M. The Securities and Exchange Commission and Financial Accounting Standards Board are considering extending some corporate and accounting requirements and standards to broker/dealers. The Securities and Exchange [...]

The independence of fund directors has been near the top of the list of investment management priorities at the Securities and Exchange Commission for a number of years. A string [...]

The Securities and Exchange Commission will unveil a rule proposal designed to make it easier for broker/dealers to adopt non-transaction based fee structures within 'a matter of weeks,' said Paul [...]

The Securities and Exchange Commission has put off plans to give guidance on what firms need to retain in terms of e-mails. The move comes amid the industry backing away [...]

The Securities and Exchange Commission's upcoming proposal defining nationally recognized credit rating agencies will require that agencies maintain up-to-date ratings, are widely accepted in the market and have systematic ratings [...]

The Securities and Exchange Commission is planning a host of net capital-related proposals for all broker/dealers that stem from the recent consolidated supervision rules for global investment banks. Proposals will [...]

Broker/dealers could be facing the first wave of anti-money laundering enforcement actions. The Securities and Exchange Commission has found throughout the last year that 25% of B/Ds have AML deficiencies [...]

Smaller companies will soon receive guidance on applying an accounting approach called the COSO framework that stems from the Sarbanes-Oxley Act's internal control provisions, Section 404. The COSO model comes [...]

Each issue, Compliance Reporter's Q&A column enables broker/dealers and investment advisers to question anonymously a panel of regulatory experts on specific problems they are encountering in the course of day-to-day [...]

Broker/dealers are looking at ways to change their sales agreements for 529 plans. The move is in response to increasing regulatory attention to the sales practices surrounding the plans. All [...]

Fund companies may make broker/dealers share some of the responsibility for screening trades for market timing activities that violate individual mutual fund prospectuses. The move would come in response to [...]

The American Bar Association is considering creating a task force that would work with the Securities and Exchange Commission to iron out some of what the Bar considers vague areas [...]

The Investment Adviser Association has told the Securities and Exchange Commission to apply consistent standards and a concise format in deficiency letters. These letters routinely fail to explain precisely which [...]

The Securities and Exchange Commission was considering issuing interpretive guidance on what is appropriate dialogue between salespeople of initial public offerings and potential investors. The interpretations would have addressed ambiguity [...]

The Securities and Exchange Commission has offered interpretive guidance on how foreign banks issuing securities in the U.S. can qualify for an exemption from registration under the Investment Company Act. [...]

The chief compliance officer at Merrill Lynch Investment Managers is hoping the new chairman of the Securities and Exchange Commission provides additional guidance about subadviser due diligence. 'What's expected is [...]

* The American Bankers Association has recommended that the Securities and Exchange Commission adjust the threshold that determines whether a business is subject to SEC reporting requirements. The ABA recommended [...]

The Securities and Exchange Commission is frustrated with state bar association inquiries into lawyer ethics. William Lenox, ethics counsel, said many of the SEC's disciplinary referrals against lawyers are still [...]

The annual SEC Speaks forum in Washington, D.C. attracted some 1,000 securities lawyers, industry officials and regulators from the Securities and Exchange Commission. Accounting standards, corporate controls, market structure and [...]

Broker/dealers should implement stringent policing standards over New York Stock Exchange floor traders to better spot fraudulent activity, an official at the Securities and Exchange Commission stressed. The official said [...]

The Chicago Mercantile Exchange's chairman has said regulation of securities futures products should be split between the Commodity Futures Trading Commission and securities regulators. CME Chairman Terry Duff said in [...]

* Accounting firm Grant Thornton has advised the Securities and Exchange Commission's decision to allow mid-cap companies an additional 45 days to file their audited assertions regarding internal controls under [...]

Compliance officers are saying the difficulty broker/dealers have giving investors best execution prices creates the need to abolish payment for order flow. Earlier this month, an SEC official told CR [...]

Regulators should allow broker/dealers to play a larger role in implementing best practice guidelines throughout the securities industry, according to compliance officers. Compliance officers had hoped that William Donaldson, chairman [...]

Investment advisers face a potential wave of 'failure to supervise' actions by the Securities and Exchange Commission, now that the Commission's compliance program rule has gone into effect. Elizabeth Knoblock, [...]

In what it calls a 'groundbreaking commitment' to investors, Putnam Investments has adopted several protections and disclosures for investors that it claims 'go beyond the provisions' of it settlement with [...]

There is little room for maneuver between the two sides' entrenched positions on the Securities and Exchange Commission's proposed rule to require hedge adviser registration. The comment period for the [...]

Nasdaq Stock Market President and CEO Robert Greifeld said if the Securities and Exchange Commission passes the proposed trade-through rule in Regulation NMS, it will likely lead to more problems [...]

Mutual fund portfolio managers will be among buyside beneficiaries of a new centralized Web site launched last week for filing disclosure information relating to the quality of securities offered by [...]

The Financial Planning Association has again called on the Securities and Exchange Commission to withdraw a stalled rule proposal from 1999 regarding broker/dealers who provide investment advice to customers. The [...]

Even though investment companies' procedures are not required to provide for the oversight of compliance by their custodians, regulators are still reminding funds to apply due diligence in this area. [...]

The Financial Planning Association has expressed misgivings over the Securities and Exchange Commission's adoption of codes of ethics for investment advisers. The FPA was hoping for SEC recognition of the [...]

FaceTime Communications, a U.S.-based vendor of instant messaging monitoring tools, is looking to monitor wireless instant messaging. Separately, the company is also planning to open a London office to target [...]

Consumer interest groups have told the Securities and Exchange Commission to file enforcement actions against fund boards and investment advisers in instances where investors are charged potentially excessive advisory fees. [...]

The Securities and Exchange Commission has barred Ernst & Young from accepting any new clients among public companies for six months. The bar, imposed by an administrative law judge, stems [...]

June is the month when industry foes of the hard 4 p.m. close on mutual fund trades can expect the Securities and Exchange Commission will want them to present an [...]

Broker/dealers under investigation should do everything possible to cooperate with Securities and Exchange Commission staff during examinations, though that still may not be enough to convince SEC staff that the [...]

The Securities and Exchange Commission, in three cases, set forth standards for its review of petitions for relief from administrative bar orders. The Commission stated it would look at whether [...]

The Securities and Exchange Commission sent a letter to the Investment Company Institute warning that mutual fund companies disclose more accurately the types of assets held by 'U.S. Government' bond [...]