SEC Proposes More Information About ETFs to Investors
The agency has issued a proposal that would make it easier for ETFs to come to market.
Tag: Securities and Exchange Commission
With SEC’s Reporting Rule Change, Will Equity Compensation Increase?
The leader of Sullivan & Worcester's Capital Markets Group analyzes the SEC’s recent move to double the limit of equity compensation that can be awarded by private companies...
SEC Eyes Equity Compensation Changes for ‘Gig Workers’
The SEC solicited public comment on potential changes to the regulator’s treatment of equity compensation, tied to the emergence of the “gig economy.”
Former State Street Executive Found Guilty of Defrauding Transition Management Customers
State Street replies that "since the overcharging was discovered [we] have substantially enhanced our controls."
Non-ERISA 403(b)s Should Pay Attention to SEC Proposed Conflict of Interest Rule
Participants in non-ERISA 403(b) plans could be considered "retail customers" under a section of the SEC's proposal, a law alert warns.
SEC Charges Merrill Lynch for Failing to Supervise RMBS Traders
The brokerage firm will pay more than $15 million in settlement.
SEC Modernizes Delivery of Fund Reports
The Commission is also seeking public feedback on fund disclosure and the fees that intermediaries charge funds for delivering fund reports.
SEC Proposes Changes to Public Liquidity Risk Management Disclosure
Instead of making the disclosure on Form N-PORT on a quarterly basis, firms would discuss their liquidity risk programs in their annual statements.
