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January 16, 2017
Piwowar Says Dodd-Frank Measures on Back Burner; Lawmakers Introduce Bills Aimed at Fiduciary Rule, SEC Rulemaking Learn more -
January 12, 2017
CFTC Chairman Timothy Massad Announces Resignation; Says Swaps Reforms "Made Sense" Learn more -
January 11, 2017
Financial Services Agency Revises New York Cybersecurity Regulation, Delays Effective Date Learn more -
January 10, 2017
Annual Survey of S&P 500 Boards Notes Trends in Retirement, Governance, Compensation and other Board Practices Learn more -
January 9, 2017
Appeals Court Rules SEC Administrative Law Judge Hiring Process Violates Constitution Learn more -
January 5, 2017
M&A Lawyer with Strong Wall Street Background Nominated to Lead SEC Learn more -
January 4, 2017
FINRA Sanctions 12 Firms for Failing to Protect Records from Alteration Learn more -
January 3, 2017
High-Speed Trading Firm Urges SEC to Address "Error-Prone" Trading Infrastructure for ETFs Learn more -
January 3, 2017
SEC Issues Guidance for Funds on Fiduciary Rule-Related Prospectus Disclosures and Filing Procedures Learn more -
September 6, 2016
Forum Comment Letter on SEC's Proposal regarding Adviser Business Continuity and Transition Plans Learn more -
May 24, 2016
Forum Comment Letter on SEC Investment Company Reporting Modernization Proposal Learn more -
April 28, 2016
Forum Comment Letter on Transfer Agent Regulations Learn more -
March 29, 2016
Forum Comment Letter on SEC Derivatives Proposal Learn more -
March 28, 2016
Forum Comment Letter on Use of Derivatives by RICs and BDCsOn March 28, 2016, the Forum submitted a comment letter in response to the SEC’s rule proposal regarding use of derivatives by registered investment companies and business development companies.
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January 14, 2016
Forum Comment Letter on SEC Proposal on Liquidity Risk Management Programs, Swing Pricing Learn more -
January 13, 2016
Forum Comment Letter on Liquidity Risk ManagementOn January 13, 2016, the Forum submitted a comment letter in response to the SEC’s rule proposal on open-end funds liquidity risk management programs.
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November 17, 2015
Board Oversight of Cybersecurity Learn more -
November 2, 2015
Forum Comment Letter on the PCAOB Audit Quality Indicators Concept Release Learn more -
November 2, 2015
Forum Comment Letter on the SEC's Liquidity Risk Management and Swing Pricing Proposal Learn more -
September 8, 2015
Forum Comment Letter on the SEC Audit Committee Disclosures Concept Release Learn more