News
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April 10, 2019
MFDF Webinar: Unbundling Commissions Under MiFID II Learn more -
April 9, 2019
D&O Insurance Rates Eyed as Corporate Directors Increasingly Targeted Learn more -
April 8, 2019
Deloitte Article Explores Risk Oversight Considerations for Boards Learn more -
April 4, 2019
Former Stein Aide Likely Nominee for Commissioner Spot Learn more -
April 4, 2019
Best Interests Regulation Still Facing Questions, Criticisms Learn more -
April 3, 2019
Portfolio Construction, Transaction Costs Worth a Look as Index Fund Fees Scrape Bottom Learn more -
April 2, 2019
Law Firm Memo Explores Key Questions on Data, Risks Learn more -
April 1, 2019
Insurers Collaborate to Offer Cyber Products Ratings System Learn more -
March 28, 2019
SEC Staff to Hold Fintech Forum on May 31 at SEC Headquarters Learn more -
March 27, 2019
SEC Proposes Reforms for BDCs, Closed-End Funds, Adopts Rules to Simplify Disclosures Learn more -
March 26, 2019
SIFMA Seeks Permanent Relief on MiFID II Impacts; Blass Notes Industry Efforts to Comply Learn more -
March 25, 2019
IM Division Chief Plans Outreach to Smaller Fund Sponsors, Fund Boards Learn more -
March 21, 2019
Finra Disciplinary Fines Up in 2018 Learn more -
March 20, 2019
Clayton Seeks Review of Equity Market Structure Rules Learn more -
March 19, 2019
Report: Large Asset Managers Lobbying for U.S. Adoption of MiFID II Provisions Learn more -
March 18, 2019
79 Firms Reach Settlement with SEC in Share Class Initiative Learn more -
March 14, 2019
Proposal Calls for Tax on Financial Transactions to Curb High Speed Traders Learn more -
March 13, 2019
MFDF Webinar: Securities Lending: Driving Portfolio Alpha Learn more -
March 12, 2019
Peirce Questions Push for Disclosures on Board Makeup, ESG Investing Learn more -
March 11, 2019
SEC Modifies Timing for Filing Form N-PORT Data Learn more