Sen. Jerry Moran suggested the SEC hadn't provided proper notice to firms before penalizing them for share class related violations
The GAO said the Division of Enforcement has used an informal process of meetings and discussions in formulating its annual reports on its activities
4 years ago
Finra fines NYLIFE over risky mutual fund sales
The SRO said the firm changed customers' risk tolerances to facilitate sales of higher risk energy-focused funds
Agency is considering amending its recently finalized ETF rule to include leveraged and inverse ETFs
Agency eyeing conflict disclosure problems beyond its recent share class initiative
Industry criticized agency for "rulemaking by enforcement" and issuing guidance only after fining dozens of firms
The Financial Transparency Act could create new efficiencies and drive automation
PGIM Investments and AST Investment Services reimbursed the 94 affected mutual funds more than $155m
Board discretion scores another victory as judges uphold earlier decision
A new suit says information about sweep accounts was buried deep in PDFs