SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021 ...
FSOC Expresses Concerns with Fund Leverage and Redemptions Calls on SEC to Study Potential Emerging Risks from Investment Funds December 9, 2020 Not surprisingly, the 2020 annual report of...
SEC Proposes Updates to Fund Disclosure Framework August 11, 2020 As part of its investor experience initiative, the SEC has proposed an updated disclosure framework for mutual funds and...
SEC Fines Affiliated Advisers $1 Million for Misrepresentations to Fund Boards in Connection with Payments for Order Flow August 10, 2020 The SEC has charged two affiliated investment advisers...
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