Proposed Disclosure Rules Will Not Delay Lifting of General Solicitation Ban

SEC Chair Mary Jo White recently confirmed that the SEC will not…

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Are DOL and SEC Fiduciary Rules Headed for a Collision?

Two federal government agencies are currently working to create new fiduciary rules…

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Will We See Crowdfunding Rules This Fall?

Mary Jo White said it.  It’s on C-SPAN. Crowdfunding rules could finally…

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SEC Brings First Action Under Chief Compliance Officer Rule

The SEC recently sanctioned a former portfolio manager  under Rule 38a-1(c) of…

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Congress Could Nix Mandatory Arbitration With Investors Choice Act

In light of the absence of SEC action on topic, Rep. Keith…

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