At a recent conference, Corp Fin Director Alan Beller stressed that the SRO listing standard proposals would be out by the end of February - and that the SEC staff was still trying to "harmonize" the NYSE and Nasdaq proposals.
At its open meeting yesterday, the SEC proposed a self-regulatory organization for mutual funds - and postponed final rules on analyst certifications until today's open meeting.
For TheCorporateCounsel.net subscribers, we have posted sample codes of ethics!
Posted by broc at 09:28 AM