Carl Ayers
With all current signs indicating larger mutual funds will have to have a liquidity risk management program in place by December, the SEC has released ...
Our coverage of the new tax law last week purposely left out news that the measure eliminates the ability of taxpayers to take certain miscellaneous ...
SEC officials won’t comment but it looks as if one of the 2018 predictions we’ve shared – that the agency’s transition planning/BCP proposal from 2016 ...
A new final rule from the SEC tweaks two Advisers Act rules to bring them into agreement with Congress’s 2015 FAST Act (IA Watch, March ...
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting certain amendments to its rules that, respectively, govern registration of intermediaries and relate to the ...
Taking a step to ensure its security-based swaps rules don’t hamper the market, the SEC issued a new final rule declaring that a broker’s research ...
Regulators’ interest in bitcoin and other virtual currencies just took another big step. The National Futures Association now requires CPOs and CTAs to “immediately ...
We are adopting amendments to the rule that defines a venture capital fund (rule 203(l)-1) and the rule that implements the private fund adviser exemption ...
We are adopting a rule under the Securities Act of 1933 (“Securities Act”) to provide that certain communications involving security-based swaps will not be deemed ...