Items tagged with "retail investor"

XBRL US Responds to SEC Request for Comment on Fund Retail Investor Experience

XBRL US submitted a letter in response to the SEC’s Request for Comment about the Fund Retail Investor Experience. Thanks goes to our members who joined a short-term working group to discuss and prepare the letter. The letter explains the benefits of data standards and in particular, how they benefit retail investors: “While few retail […more]

SEC Publishes Strategic Plan for 2018-2022

On June 19, 2018, the Securities and Exchange Commission published their draft Strategic Plan for 2018-2022 which contains five goals, one of which is to “Elevate the SEC’s performance by enhancing our analytical capabilities and human capital development.” The Commission has adopted five strategies to reach this goal including the expanded use of data analytics. The […more]

SEC Announces Open Meeting to Cover Inline XBRL Proposal

Today, the Securities and Exchange Commission announced an open meeting to be held on June 28, 2018, which will cover two rule proposals with an XBRL component: whether to adopt amendments to rules and forms to require the use of the Inline eXtensible Business Reporting Language (XBRL) format for the submission of operating company financial […more]

Request for Comments: Draft 2018-2022 SEC Strategic Plan

Monday, June 25 - Wednesday, July 25, 2018
US Securities and Exchange Commission Comment Period
Federal Register announcement

The Securities and Exchange Commission (SEC) is seeking comments on its draft 2018–2022 Strategic Plan. The draft Strategic Plan includes a draft of the SEC’s mission, vision, values, strategic goals, and planned initiatives. Comments may be submitted by any of the following methods: E-mail Postal mail: Nicole Puccio, Branch Chief Securities and Exchange Commission […more]

SEC Requests Comment on Fund Retail Investor Disclosure, References XBRL

The SEC has published a request for comment (RFC) on Fund Retail Investor Experience and Disclosure. The RFC is seeking public comment from individual investors and other interested parties on enhancing disclosures by mutual funds, exchange-traded funds (“ETFs”), and other types of investment funds to improve the investor experience and to help investors make more […more]

SEC Proposal Requiring Relationship Summary for Retail Investors in Structured Data Format

The SEC has published a rule proposal to require registered investment advisors and registered broker-dealers to provide a brief relationship summary to retail investors about relationships and services the firm offers, standard of conduct, and fees and costs associated with those services, specified conflicts of interest, and whether the firm currently has reportable legal or […more]