RFP has been issued to conduct the first stage of the study
No issue in SEC history has attracted this much attention, chairman says
“Not investments for Mom and Pop”, Cox says
No unnecessary over-regulation, association says
Firm failed to adequately disclose mutual fund and insurance information to customers
The release seeks feedback on key topics and on whether guidance should be provided in other areas
Future must be broad-based to ensure that securities making up the index are not readily susceptible to manipulation
Firm will pay $10 million penalty for failing to prevent the misuse of inside information
Rule sent back for reconsideration
Many forms of cross-border mergers would not result in mandatory registration of a non-U.S. exchange