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The Forum News Feed is an electronic journal, or "blog," of alerts, analysis, news and tools focused on the needs of independent directors. You can subscribe to the Forum News Feed and have it delivered electronically to your e-mail in box.
Registered Investment Companies and Commodity Pool Operators
September 02, 2010
The National Futures Association ("NFA") has petitioned the Commodity Futures Trading Commission to amend its rules in a way that would make some registered investment companies "commodity pool operators." Under current CFTC rules, registered investment companies are generally excluded from the definition of "commodity pool… read more
Sept. 7 E&Y Webcast on Dodd-Frank Implementation
September 01, 2010
On September 7, 2010 at 4:00-5:15PM EDT, 1:00-2:15PM PDT, Ernst & Young LLP will present a free webinar on the implementation of the Dodd-Frank Act. This webinar will feature discussions focusing on the Act's immediate priorities, designed to help listeners evaluate the effect of the law… read more
SEC Requests Public Comment on Move to International Accounting Standards
August 31, 2010
The Securities and Exchange Commission is requesting public comment on its ongoing consideration of incorporating International Financial Reporting Standards (“IFRS”) into the financial reporting system for U.S. issuers. In particular, the SEC staff is interested in comments from the public on: US investors’ current knowledge… read more
Best Practice Guidance for Firms Serving Senior Investors
August 30, 2010
The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA) and North American Securities Administrators Association (NASAA) have issued updated best practice guidance for financial services firms to strengthen their policies and procedures for serving senior investors as they approach and begin retirement. The report was… read more
SEC Adopts Final Rules on Proxy Access
August 26, 2010
At yesterday's open meeting, the SEC adopted changes to the federal proxy and other rules to facilitate the rights of shareholders to nominate directors to a company's board. The changes to the federal "proxy access" rules are intended to facilitate the ability of shareholders to exercise… read more