Roundtable discussions will advise SEC on transition from forms-based system to one that is more dynamic and user friendly
A joint report released on Monday outlines ways that firms can strengthen their policies and procedures for serving older investors
Action taken to protect investors and markets
Rules now apply to securities of all public companies
“Welcome news” for Lehman customers, regulator says
Revisions will ehance the ability of U.S. investors to access Canadian capital markets
Former Wall Street brokers charge US$1 billion subprime-related securities fraud
SEC sets out multiyear plan that could lead to the use of International Financial Reporting Standards by U.S. issuers
Proposed rule amendments will make it easier for investors to gain access to timely financial information
The U.S. Securities Industry and Financial Markets Association applauded the mutual recognition agreement announced today between the Securities and Exchange Commission, the Australian Treasury and the Australian Securities and Investments Commission.SIFMA calls the deal “a landmark in American financial services reform and a model for future cooperation with other regulators”.“The often-conflicting financial services regulations issued […]