The Federal Register has published the Labor Department’s 8-page proposed rule that would move its fiduciary duty rule’s applicability date to June 9th from April ...
The SEC has taken another step in its ongoing efforts to improve transparency in the municipal securities market. The Commission approved March 1 proposed amendments ...
If the new guidance from the SEC’s Division of Investment Management on what constitutes custody deprives the industry of an outright victory, it at least ...
At the beginning of the year, FINRA signaled in its 2017 examination priorities letter that it has enhanced its risk-based surveillance and examination programs to ...
If author Stephen King had it right when he said “brevity makes sweetness,” then the CFTC’s rules around bona fide hedging can seem as sour ...
This week the new Financial CHOICE Act that would modify Dodd-Frank and other financial services’ regulation is expected to be unveiled. IA Watch has obtained a ...
A proposal that would provide an exception to the prohibition on projecting performance to permit brokerage firms to distribute a customized hypothetical investment planning illustration ...
Through a new No-Action Letter, the CFTC has delayed the March 1 effective date for its new variation margin rules until Sept. 1, so as ...
You’re not alone if you’re confused about whether to proceed to comply with the Labor Department’s April 10th applicability date for its fiduciary duty rule ...
If you believe your CPO should be exempt from CFTC registration, the process begins by filing notice with the Commission (CPO/CTA Watch, May 28, 2012). ...