SEC, Risk Management Controls for Brokers or Dealers With Market Access (Final Rule, 2010) resource National Regulations OCEG Reviewed
Summary: The Securities and Exchange Commission (“Commission” or “SEC”) is adopting new Rule 15c3-5 under the Securities Exchange Act of 1934 (“Exchange Act”).
SEC, Mutual Fund Distribution Fees; Confirmations - Proposed Rule (August 2010) resource National Regulations OCEG Reviewed
The proposed rule and rule amendments are designed to protect individual investors from paying disproportionate amounts of sales charges in certain share classes, promote investor understanding of fees,eliminate outdated requirements, provide a more appropriate role for fund directors, and allow greater competition among funds and intermediaries in setting sales loads and distribution fees gene
Point of View: New SEC rule prompts companies to disclose how their boards oversee risks (PwC, May 2010) resource Articles
Summary: What does the SEC's new rule intend to achieve, and how do the resultant proxy disclosures measure up?
SEC, Shareholder Approval of Executive Compensation of TARP Recipients, Final Rule (2010) resource National Regulations
75 Federal Register 2789 (January 19, 2010)
Hedge Fund Regulation on the Horizon — Don't Shoot the Messenger blog
"The Globalization of Investment Advisers — How Will Regulators Respond?" blog
Welcoming Remarks Before the 34th IOSCO Annual Conference blog
Dear colleagues, ladies and gentlemen, allow me to join my colleagues in welcoming you to Tel Aviv for IOSCO's 34th Annual Conference. It is a pleasure and an honor to address you all this morning.
Strengthening the Money Market Framework with Investors in Mind blog
Thank you Chairman Schapiro.
Money market funds were founded nearly 40 years ago. And, as is well known, one of the hallmarks of money market funds is their ability to maintain a stable net asset value — typically at a dollar per share.
Statement at SEC Open Meeting Regarding Money Market Fund Reform blog
Good morning. I want to join Chairman Schapiro in recognizing the Division of Investment Management and the offices of General Counsel and Economic Analysis for their contributions to this proposing release. And I want to commend the Chairman for taking up this critical rulemaking in such a timely way.
Remarks at the Open Meeting of the U.S. Securities & Exchange Commission Regarding Money Market Fund Reform blog
Thank you, Chairman Schapiro.
