News
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March 28, 2017
CFTC Chairman Nominee Outlines Plan for Agency Learn more -
March 27, 2017
SEC Chair Nominee Says He Could Moderate Size of Financial Penalties; Make IPO Process Less Costly Learn more -
March 27, 2017
Law Firm to Host Event on Global Alternative Funds Learn more -
March 23, 2017
Firms Slow Early Efforts to Comply with Fiduciary Rule; Comments on Proposed Delay Flood in to DOL Learn more -
March 22, 2017
Report Says SEC's Enforcement Division Limiting Expenditures, Preparing for Budget Cuts Learn more -
March 21, 2017
Hearings Scheduled for SEC Chair Nominee; Possible Conflicts Seen in Personal Holdings, Wall Street Ties Learn more -
March 20, 2017
MFDF Webinar: T Shares and the Evolution of Share Class Types Learn more -
March 14, 2017
Blockchain Gains Favor but May Still Lack In-house Experts; Fidelity Team Seeks Patent on Voting Technology Learn more -
March 13, 2017
SEC Releases Guidance on Robo-Advisers Learn more -
March 9, 2017
Proposed Regulation Targets Sections of Gramm-Leach-Blilely; Global Organization Urges Restraint on Regulatory Rollbacks Learn more -
March 8, 2017
SEC to Vacate Certain Industry Bars Tied to Offenses Occurring Before Dodd-Frank Learn more -
March 7, 2017
The Hartford Wins Excessive Fee Suit; Russell Lawsuit is Terminated, Among other Dismissals Learn more -
March 6, 2017
Piwowar in Address Assails Fiduciary Rule; Focuses on the "Forgotten Investor" at SEC Conference Learn more -
March 2, 2017
FINRA Proposes Amendment to Advertising Rule to Allow Certain Performance Projections Learn more -
March 1, 2017
Morgan Stanley Brokerage Arm Sanctioned for Compliance Failures in Sale of Inverse ETFs Learn more -
February 28, 2017
Report says Piwowar Requested Examination of Staff Powers to Initiate Investigations, Inspections Learn more -
February 27, 2017
Lawmakers Approve Oversight Plan to Monitor Financial Agencies' Spending and Operations Learn more -
February 23, 2017
OCIE Risk Alert Highlights Advisers' Frequent Compliance Shortcomings Learn more -
February 22, 2017
Firms Join to Urge Mexico to Change Governance Practices They Say Harm Investors Learn more -
February 21, 2017
Forum Releases Paper on Risk Management Oversight for Fund Directors Learn more