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Gensler Delivers Remarks on Market Structure, Asset Management at ICI Washington DC Conference
His remarks, entitled “Bear in the Woods,” touched on investment and liquidity risks posed by certain …
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Sidley Austin’s Jay Baris Hosts “Mutual Fund Minute” Podcast
Jay Baris, a partner in Sidley Austin’s New York office has started highlighting important background …
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SEC Chair Gensler Delivers Remarks on Financial Market Risk, Resilience
SEC Chair Gary Gensler delivered remarks entitled “Lessons from Mrs. O’Leary’s Cow” which focused on …
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SEC Charges Trustees, Adviser with Liquidity Rule Violations
The Securities and Exchange Commission announced charges against Pinnacle Advisors LLC for “aiding and …
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UPDATED: SEC to Host Investment Management Program on Emerging Trends
The SEC’s Division of Investment Management recently updated an agenda for the Division's inaugural program …
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FSOC Issues Request for Comment on Guidance for Non-Bank Financial Companies, Financial Stability Risks
The Financial Stability Oversight Council (FSOC) proposed new rules to assess financial stability risks …
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SEC Chair Gensler Testifies at House Financial Services Committee Oversight Hearing
Securities and Exchange Commission Chair Gary Gensler testified before members of the House Financial …
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Yellen Delivers Remarks on Non-Bank Financial Risks, Open-End Funds
Secretary Yellen noted that for regulators, “policy is not aimed at preventing external shocks nor eliminating …
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Commissioner Uyeda Delivers Remarks at ICI Investment Management Conference
Commissioner Mark Uyeda's remarks noted the blistering pace of rulemaking, and he went further to …
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Fund Boards Submit Comments on SEC Swing Pricing, Liquidity Management Proposal
Over 25 fund boards submitted comment letters opposing the swing pricing mandate, imposition of the hard …
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Mutual Fund Directors Forum Submits Comments on SEC Swing Pricing, Liquidity Rule Proposal
This week, the Mutual Fund Directors Forum submitted written comments to the SEC’s proposal that would …
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SEC Chair Gensler Delivers Remarks on Potential Areas for Market Structure Reforms
SEC Chair Gary Gensler delivered a speech detailing specific areas where market structure reforms could …