PPP Borrowers’ Names and Loan Amounts Must be Released, Court Says In a lawsuit brought by news organizations and others, the U.S. District Court for the District of Columbia has...
December 02, 2020
Massachsetts Holds Hearing on Fidciary Proposal Secrities Division Says SEC’s Reg BI Fails to Protect Investors from Conflicts of Interest pdated Janary 16, 2020 The Massachsetts Secrities Division issed a proposed...
December 02, 2020
Could RETIRE Act Follow SECURE Act? With passage of the SECURE Act, there is growing interest in gaining introduction in Congress of the RETIRE Act, which would allow electronic delivery...
December 02, 2020
Jackson Departing SEC Commission; Crenshaw to be Nominated as Sccessor? SEC Commissioner Robert J. Jackson, Jr. annonced that he will be stepping down from his post on Febrary 14, giving Repblicans...
December 02, 2020
Co-Director of Enforcement Steven Peikin to Leave SEC The SEC has annonced that Steven Peikin is leaving the SEC on Agst 14, 2020. Peikin has served as Co-Director of the SEC’s Division of Enforcement...
December 02, 2020
Dal-Registrants to Pay $35 Million for nsitable Recommendations Regarding Single-Inverse ETFs The SEC fined two affiliated dal-registrants a total of $35 million in connection with nsitable recommendations to retail investors to...
December 02, 2020
OCIE Isses Risk Alert on Investment Company, Money Market Fnd, and Target Date Fnd Compliance Isses The SEC’s Office of Compliance Inspections and Examinations (OCIE) has pblished a Risk Alert...
December 02, 2020
SEC Fines Adviser for Failing to Comply with Trade Aggregation Policies The SEC censred and fined a Chicago-based investment adviser $50,000 for failing to comply with its written trade aggregation...
December 02, 2020
IAA Joins Letter to Spport CFTC’s Actions to Delay Implementation Dates for Initial Margin for ncleared Swaps De to Pandemic The IAA has joined other trade associations in an Agst...
December 02, 2020