Tag Archives: Research

SEC Adopts Rules Promoting Research on Investment Funds

The Securities and Exchange Commission (SEC) recently adopted rules and amendments designed to promote research on investment funds.  These funds include mutual funds, exchange‑traded funds, registered closed-end funds, business development companies, and similar covered investment funds. These changes are intended to reduce obstacles to providing research on investment funds.  This should be realized by harmonizing the … Continue reading SEC Adopts Rules Promoting Research on Investment Funds

SEC Approves Rule Addressing Conflicts of Interest in Research Reports

The Securities and Exchange Commission (SEC) approved the adoption of FINRA Rule 2241 ( Research Analysts and Research Reports), a consolidated rule to address conflicts of interest relating to the publication and distribution of equity research reports, which may come into effect either September 25, 2015 or December 24, 2015.  In general, the rule retains  … Continue reading SEC Approves Rule Addressing Conflicts of Interest in Research Reports

SIFMA Testifies on Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens

Chairman and CEO of Stifel and member of the SIFMA Board of Directors, testified on behalf of SIFMA this week before the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises. Kruszewski noted the proposals under discussion are important and appropriate work to promote capital formation. They build upon the success of the … Continue reading SIFMA Testifies on Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens