Disclosure

Four proposals address Regulation Best Execution, enhancing order competition, tick sizes and disclosure of order execution

Merrill further enhanced its wrap fee program disclosure documents, disclosing specifically that the wrap program fee does not cover Foreign Currency Exchanges and providing a ...

The "staff, pursuant to the exemptive orders, requests that, in digital advertisements, non-transparent ETFs use either the text and formatting of the Risk Legend as ...

Disclosure requirements 'problematic,' ILPA says

Exemptions and counter-exemptions for Reg D advisers

Commissioner calls for tiered disclosure regime

Noisy investors can bring unwelcome regulatory attention.

Firm failed to "fully and fairly" disclose conflicts tied to revenue sharing payments and incentives received from two clearing brokers

The SEC adopts new rules directing mutual fund advisers to transmit concise and visually engaging annual and semi-annual reports to shareholders that highlight key information ...

SEC rules around shareholder reports