News
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June 14, 2017
Academic Study Finds Sarbanes-Oxley Reforms had Limited Effects on Corporate Governance Learn more -
June 13, 2017
U.S. Supreme Court Rules 5-Year Limit Applies to Disgorgement Claims in SEC Enforcement Actions Learn more -
June 12, 2017
Dalia Blass to lead SEC's Investment Management Division Learn more -
June 8, 2017
Amendments Broaden Eligibility Standards, Revamp Review Process for CFTC Whistleblower Claims Learn more -
June 7, 2017
Treasury Secretary Testifies on Banking Bill; Says Bank Breakups Would Pose Economic Problems Learn more -
June 6, 2017
Morningstar Fee Study Finds "Expensive" Active Funds Hardest Hit in Migration to Passive Funds Learn more -
June 5, 2017
SEC Notice Calls for Public Input to Inform Analysis, Future Action on Fiduciary Standards Learn more -
June 1, 2017
White House Budget Targets CFPB and SEC's Reserve Fund; CFTC Seeks Increase in Funding Learn more -
May 31, 2017
Labor Secretary Says No Further Delay of Fiduciary Rule; DOL Releases FAQs on Transition Period Learn more -
May 30, 2017
MFDF Webinar: Board Oversight of Third Party Contracts - Building a Practical Oversight Process Learn more -
May 29, 2017
More Firms Adopt Broker-Dealer Fee Disclosure Template Learn more -
May 25, 2017
SEC Targets Barclays Capital With Due Diligence, Disclosure and Other Charges Learn more -
May 24, 2017
Senator Seeks Bipartisan Support on Financial Regulation; Investor Group Opposes CHOICE Act Provisions Learn more -
May 23, 2017
Academics Cast Doubt on the Financial Research Tracking Stock Market Anomalies Learn more -
May 22, 2017
OCIE Issues Risk Alert on Global Cyberattack; Insurer Requirements Push Firms to Improve Cyber Security Practices Learn more -
May 18, 2017
CFTC Acting Chair Sees "Heightened Market Liquidity Risk"; Urges Review of Bank Capital Requirements Learn more -
May 17, 2017
Consulting Firm Sees Record M&A Activity for Registered Advisers in First Quarter Learn more -
May 16, 2017
MFDF Webinar: Fund Director Compensation: The MPI Annual Survey (2017) Learn more -
May 15, 2017
Paper Tracks Increase in Mutual Funds Investing in Private Firms Learn more -
May 11, 2017
State Banking Group Sues over OCC's Plan to Grant Special Charter to FinTech Firms Learn more