News
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April 19, 2018
CFTC Commissioner Envisioning Oversight Framework for Virtual Currencies Learn more -
April 18, 2018
MFDF Webinar: Love Your CCO Learn more -
April 17, 2018
Speculation Abounds as SEC Expected to Propose Fiduciary Standard at Open Meeting Learn more -
April 16, 2018
Legislation Relaxes Leverage, Registration and Reporting Burdens for BDCs Learn more -
April 12, 2018
Webinar - Cyber: The Director's Perspective Learn more -
April 11, 2018
36(b) Cases Set Aside; Scrutiny of Board's Process Highlights Need for Diligence Learn more -
April 10, 2018
High Morningstar Rating Significantly Increases Fund Flows, Firm Finds Learn more -
April 9, 2018
MFDF Webinar: Mutual Fund Distribution: Products and Platforms in an Uncertain Regulatory Environment Learn more -
April 5, 2018
Structural Shifts and Challenges Seen for Securities Industry Service Providers Learn more -
April 4, 2018
Mixed Results for Active Managers as Trend Toward Passive Investing, Lower Fees Continues Learn more -
April 3, 2018
Whistleblower Says FINRA, States Allowed Sensitive Data to Remain Accessible Learn more -
April 2, 2018
MFDF Webinar: Asset and Wealth Management Revolution Learn more -
March 29, 2018
Scrutiny on Proxy Advisory Firms as Legislators Question Potential for Conflicts Learn more -
March 28, 2018
Court Deals Blow to Fiduciary Rule; State Treasurers Urge SEC to Keep Rule's Standards Learn more -
March 27, 2018
SEC in Split Vote Pulls Back on Liquidity Rule Reporting Requirements; Peirce Challenges Bucketing Requirement Learn more -
March 26, 2018
IM Director Says Division is Updating Valuation Guidance for Boards Learn more -
March 20, 2018
Legislators Press FINRA, SEC Unit for Data on Sexual Harassment; Investors Also Raise Concerns Learn more -
March 19, 2018
Fed, Treasury to Publish LIBOR Alternatives; Transition Challenges Expected Learn more -
March 15, 2018
BlackRock Filing Cites Criticism of Index Investing as a Primary Risk Learn more -
March 14, 2018
Commissioners, Industry Point to Limits in Latest SEC Cyber Security Guidance Learn more