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SEC: Regulators
'A lot of fees and potential conflicts inherent,' Chairman says
Case another example in importance of delegating compliance authority
Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.
Unproven theory may make firms hostage to P&Ps, side deals
Knowledge dissolves in information
This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing
Scam began as side-hustle, SEC claims
It’s clear the mess Madoff left will long outlive the criminal who created it
This is the new national market system plan governing the public dissemination of real-time consolidated equity market data for national market system stocks
ILPA's asks graph neatly onto Gensler's wants