Vanguard says its own new proxy voting standards, not new SEC rules, are behind the change.
Keep your eyes open for more SEC rules on crowdfunding over the next several months.
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We need relief from onerous SEC rules that inhibit small investments in innovative, Kickstarter-like products and services.
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"The SEC rules right now use income or net worth as the way to measure sophistication, " he says.
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Investment banks routinely support the price of a stock after a public offering, which is acceptable under SEC rules.
Making public statements about the financial status of a company during an IPO process is prohibited by SEC rules.
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Under SEC rules, those kinds of contributions disqualified Goldman from engaging in municipal underwriting business with certain Massachusetts municipal issuers for two years.
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Cummings is ensured of some success thanks to a new set of SEC rules called Regulation National Market System, which took effect Mar. 5.
As a result of our substantial share ownership in Compuware, SEC rules oblige us to make the existence and contents of this letter public.
Some private equity firms, like Blackstone, are public companies and are required under SEC rules to have a registered public accounting firm audit.
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Due to SEC rules, if this is the case, Liberty has 10 days to disclose it, which means investors should hear it any day now.
All of them are U.S.-centric, looking for investment capital in America and playing by SEC rules that require they file annual 10-K and quarterly 10-Q reports.
Under SEC rules, firm are restricted from engaging in municipal securities business with an issuer for two years after any contribution has been made to the official.
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"That's not required under the SEC rules, " he says.
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Investment-bank analysts will face new SEC rules to prevent them from issuing biased reports because of business relationships their employers have with the companies they are assigned to analyse and report on.
The new SEC rules also cover a wide range of additional topics, including establishing new exemptions from SEC registration and reporting requirements for certain advisers, and reallocating regulatory responsibility for advisers between the SEC and states.
Of 16 board members just one is female, seven have served for at least a decade, and there are certain relationships on the board that skirt the SEC rules for independence, but signal camaraderie among board members.
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Under government ethics laws and SEC rules, agency commissioners and staff can't participate in anything with a direct impact on their financial interests or connected to certain organizations, such as recent previous employers, clients or their spouse's employer.
The NYSE and the SEC have rules that require the brokers to delivery proxy materials to the stockholders.
However, these services should never have been provided at all per SEC independence rules -rules that pre-date Sarbanes-Oxley.
In addition, the SEC amended rules to expand disclosure by investment advisers, particularly about the private funds they manage.
This failure is often the first visible sign of financial distress in a market where SEC disclosure rules are not enforced.
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Dave Mann, a spokesman for Calgary- based Talisman, said the firm is confident it has not violated any SEC disclosure rules.
All eyes will be on Walter, as the SEC finalizes rules that are being crafted in response to the 2008 financial crisis.
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The SEC custody rules requires that they be distributed to investors within 120 days (or 180 days in the case of fund-of-funds).
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In December 2009, after Bernie Madoff confessed but before MF Global failed, the SEC adopted rules meant to better protect clients of investment advisers from theft and abuse.
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House Republicans and their Wall Street minders who want to further expand the stifling bureaucracy of the SEC never liked the rules the SEC had to craft for Dodd-Frank.
As a result of a 2011 court ruling that overturned Securities and Exchange Commission (SEC) rules mandating universal proxy access, the Business Roundtable and the national Chamber of Commerce prevailed in their mistaken defence of corporations.
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Once a "draft" version of the rules is agreed upon between the SEC staff and the exchange, the SEC posts these rules for public comment and response.
It will be in 2013, when the SEC finishes its rules to implement the JOBS Act, passed last April.
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