SEC Chair Mary Jo White recently confirmed that the SEC will not…
Read MoreAre DOL and SEC Fiduciary Rules Headed for a Collision?
Two federal government agencies are currently working to create new fiduciary rules…
Read MoreWill We See Crowdfunding Rules This Fall?
Mary Jo White said it. It’s on C-SPAN. Crowdfunding rules could finally…
Read MoreSEC Brings First Action Under Chief Compliance Officer Rule
The SEC recently sanctioned a former portfolio manager under Rule 38a-1(c) of…
Read MoreCongress Could Nix Mandatory Arbitration With Investors Choice Act
In light of the absence of SEC action on topic, Rep. Keith…
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