A big win for advisers and IAA Advocacy: The SEC has named a new IM Director and withdrawn outstanding rule proposals that the IAA has pressed the SEC to confirm that it did not plan to adopt.
The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has laid out its policy agenda for protecting and promoting the interests of retail investors in its annual...
Federal agencies recently released the spring 2021 update to their regulatory agendas. These agendas are the first issued under the Biden Administration and reflect this administration’s policy priorities. They include...
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