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Cboe Files for ETF Share Class
Cboe’s application joins eight asset managers seeking to establish an ETF share class for certain …
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Division of Investment Management to Host Conference on Emerging Trends
The conference, started in 2023 by former IM Director William Birdthistle, will feature remarks from …
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DOL Releases Final Investment Advice Fiduciary Rule
The Department of Labor released a new set of rules for fiduciary investment advice titled, the “Retirement …
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SEC Releases Registered Fund Statistics Report
The Securities and Exchange Commission (SEC) released a new report titled “Registered Fund …
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MFDF Webinar: Fireside Chat with Former IM Director William Birdthistle
MFDF President Carolyn McPhillips will host a virtual fireside chat with former SEC Investment Management …
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Commission Charges First Stand-Alone Investment Advisor in Off Channel Communications Enforcement Action
The SEC’s sweep of off-channel communications enforcement actions over the past several years has now …
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PWC Releases 2023 Mutual Fund Directors Governance Survey
PWC recently released their “2023 Mutual Fund Governance Survey” which highlights how investor …
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SEC Announces Settlements for Marketing Rule Violations, Releases Marketing Rule Risk Alert
The SEC announced that it had settled charges against five registered investment advisers for violations …