Tag: regulation

Samantha DeZur will now head U.S. division of team focused on public policies regarding investors’ long-term interests.

A ‘technical’ issue led to overstated projections of yield and income for nine money market funds for about 8.5 million...

More than 20% of advisers said clients spend between a quarter and half of their time on plan administrative tasks...

Industry groups filed arguments saying the proposal, intended to put greater burden on “first mover” traders of open-ended funds, would...

Investment associations say in a letter that the SEC is exceeding its authority by asking to access all off-channel business...

Jessica Hopper, head of the influential securities regulator for the brokerage industry, is stepping down in February, with Christopher Kelly...

Some call for the SEC to drop the proposal; others want clarity on which outsourcing duties should be vetted; and...

The bill, which is awaiting House vote, contains the most popular provisions while also giving time for actors to come...

CFTC Chairman says digital asset marketplaces should be regulated with tactics such as needing to register with federal overseers. 

Compliance for a new rule aimed at preventing investment advisers from misleading clients goes into effect November 4, next Friday.