Congressional subcommittee explores viability of cryptocurrencies
The odds of this bill passing depends on midterm election results
5 years ago
SEC goes after sloppy soft dollar practices
OCIE found demonstrable best ex, disclosures and policies lacking in 1,500 recent exams
5 years ago
Industry urges research rule changes
Safe harbor proposal could significantly limit available info on new and small funds, ICI says
5 years ago
ICI, IDC offer suggestions on new loan rule prop
Ruling out irrelevant relationships could benefit board audit committees
Commission plans to codify plain-vanilla ETFs, removes liquidity bucket disclosures
Commissioner Michael Piwowar’s July 7 resignation may have encouraged agency’s swift action
5 years ago
SEC approves Rule 30e-3 — with Stein’s help
Chairman calls e-delivery a ‘first step’ in reassessing fund disclosures
5 years ago
SEC to address shareholder report delivery
Fees for paper delivery of fund documents among industry’s top concerns on issue
5 years ago
Fund lobby seeks further 22e-4 delay
ICI asks for safe harbor against second-guessing what investment companies say about their liquidity