Category: News
SEC COVID-19 Market Monitoring Group Update
SEC Chairman Jay Clayton and Chief Economist S.P. Kothari issued an update on the efforts of the internal, interdisciplinary COVID-19 Market Monitoring Group.
May 19, 2020
Tags: Coronavirus, COVID-19, FSOC, Jay Clayton, Systemic Risk
The future course of the COVID-19 pandemic – and the size and duration of its economic fallout – are the most significant risks to the U.S economy and financial system, the Board of Governors of the Federal Reserve system says in its new Financial Stability Report.
May 18, 2020
Tags: Coronavirus, COVID-19, Federal Reserve Board, Financial Stability
From early February to mid-April, Federal Reserve staff surveyed 22 contacts at banks, investment firms, academic institutions, and political consultancies to gather their views on risks to U.S. financial stability.
May 18, 2020
Tags: Coronavirus, COVID-19, Federal Reserve Board, Financial Stability
IAA to NASAA: Proposed CE Should Leverage Existing IAR Training
The North American Securities Administrators Association has proposed continuing education requirements for investment adviser representatives in a new model rule.
May 12, 2020
Tags: Continuing Education, NASAA, States
The IAA is strongly opposing a proposed sales practice rule that would place new, prescriptive requirements on those investment advisers that use leveraged and inverse investment vehicles in client portfolios.
May 06, 2020
Tags: Derivatives, Fiduciary
IRS Issues FAQs on CARES Act Retirement Plan, IRA Provisions
The IRS has issued new FAQs on CARES Act provisions related to retirement plans and IRAs.
May 06, 2020
Tags: CARES Act, Coronavirus, COVID-19, IRAs, IRS, Retirement Plans
The SEC has issued new guidance on disclosure requirements for investment advisers applying for and receiving Paycheck Protection Program loans.
May 06, 2020
Tags: Coronavirus, Disclosure, PPP, SBA
The FSB Reacts to COVID-19’s Shock to the Financial System
On April 11, the Chair of the Financial Stability Board (FSB) sent a letter to the G20 Finance Ministers and Central Bank Governors updating them on the FSB’s actions to maintain financial stability during the COVID-19 crisis.
April 14, 2020
Tags: Coronavirus, Libor, Systemic Risk
SEC Staff Issues Additional Form CRS FAQs On Filing and Delivery Requirements
SEC staff have issued four new FAQs to provide guidance on filing and delivery requirements for Form CRS.
April 13, 2020
Tags: Form CRS
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