News
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October 26, 2017
Cybersecurity, Dodd-Frank Among Commissioner Nominees Top Priorities; SEC Selects Chief of Trading and Markets Learn more -
October 25, 2017
CFTC Says Firms that Self-Report Misconduct May See Lower Penalties Learn more -
October 24, 2017
Treasury Report Recommendations Line Up with Push Toward Financial Deregulation Learn more -
October 23, 2017
Article Considers Appropriate Asset Levels When Closing Fund to New Investors Learn more -
October 19, 2017
SEC Commissioner Nominee Hearings Scheduled; Fallout Continues from Cyber Breach Learn more -
October 18, 2017
Trump Signs ETF Research Provision into Law Learn more -
October 17, 2017
Fair Valuation Survey Finds Private Equity Investments, Odd-Lots Pose Challenges Learn more -
October 16, 2017
SEC Extends Loan Rule No-Action Relief Learn more -
October 12, 2017
Active Fund Managers Seeking to Benefit from Passive Trends; Buoyed by Recent Performance Learn more -
October 11, 2017
MFDF Webinar: The Shifting Landscape of DOL Fiduciary Rule Implementation Learn more -
October 10, 2017
California Court Rules for BlackRock in ETF Risk Disclosure Case Learn more -
October 5, 2017
Multiple Board Appointments Linked to Reduced Firm Profitability; Boards Adopt Buddy System for Newer Directors Learn more -
October 4, 2017
Clayton Provides Update on Hack; OIG Audit of Data Center Management Faults SEC Learn more -
October 3, 2017
SOX Requirement Targeted; Study Points to Risks of Weak Internal Controls Learn more -
October 2, 2017
BNY Mellon to Control Majority of Repo Clearing Transactions as JPMorgan Exits Business Learn more -
September 28, 2017
OCIE Issues Alert on Advertising Rule Compliance; SEC Posts Guidance on Pay Ratio Rule Learn more -
September 27, 2017
Vanguard Campaigns for Investor Votes as Shareholder Meeting Nears Learn more -
September 26, 2017
SIFMA Chief Assails Fiduciary Rule; Deloitte Study Details Costs and Effects Learn more -
September 25, 2017
SEC Under Fire for Delayed Disclosure of Hacking Incident Learn more -
September 21, 2017
State Street Faces Penalties to Settle Fraud Charges and Disclosure Failures Learn more