The CFTC and the SEC finalize their amendments to Form PF. Firms would have one year at least to comply.
After the SEC proposed new rules in 2022 designed to force more entities to register as dealers, the Commission received many comments asking that investment ...
"I am supportive of greater post-trade transparency in the Treasury markets, which should benefit investors and issuers alike"
It’s been more than one year but SEC staff have released new FAQs tied to the IA advertising rule and they caution that net and ...
If your firm manages a donor advised fund, hurry. You have until Thursday to comment to the IRS about a new proposal that could tax ...
“I think Oppenheimer had an opportunity to prevent all of this from happening,” an investor says
A recap of arguments in case that challenges the SEC's new private fund rules, a new SEC rule could mean you'll have to register as ...
"These measures are common sense. Congress did not intend for registration and regulatory requirements to apply to some dealers and not to others"
"The final rule does not exclude investment advisers, as some commenters had hoped. Why would it make sense for an investment adviser, which is already ...
"In recent years, advancements in electronic trading have resulted in certain market participants playing an increasingly significant role in providing liquidity .... There is a ...