Refine Results
Filter By Date
Filter By Content Type
Filter By News Type
Filter By Event Type
Filter By Topics
- Regulatory (79)
- ESG (15)
- Risk (12)
- Money Market Funds (11)
- Cryptocurrency (11)
- Legislative (10)
- Governance (9)
- Cybersecurity (9)
- Valuation (7)
- Compliance (7)
- Reporting (6)
- Investments (5)
- Audit (5)
- Enforcement (4)
- CCO (4)
- Litigation (4)
- Swing Pricing (4)
- ETF (4)
- Diversity (4)
- Liquidity (4)
- Disclosure (4)
- Closed-End Funds (3)
- Derivatives (2)
- Tax (2)
- Fund of Funds (2)
- AI (2)
- Technology (2)
- Securities Lending (2)
- Transfer Agency (2)
- New Directors (2)
- Proxy (1)
- Distribution (1)
- Active Management (1)
- Fees (1)
- Topics (1)
- Whistleblower Program (1)
- SPACs (1)
- Fixed Income (1)
- Alternative Investments (1)
- Mergers (1)
- Performance (1)
- COVID-19 (1)
Filter By DEI Resources
-
SEC’s Enforcement Director Slams Delays in Litigation, Document Production
Grewal's remarks note that while a “zealous advocacy” is required, delay tactics, slow document …
-
Agencies Queue Up for Role in Crypto Regulation
Barron’s reports that a March draft of a Senate bill would leave the SEC in charge of overseeing a significant …
-
Yellen Discusses FSOC 2021 Report on Capitol Hill
Questions from Members of Congress focused on inflation, the potential risk posed by climate change, …
-
SEC Extends Comment Period on Climate Disclosure Proposal
The SEC has faced increasing criticism from Washington lobbyists and industry groups for 30-day comment …
-
SEC Boosts Size of Enforcement’s Crypto Assets and Cyber Unit
Since its creation in 2017, the unit has brought more than 80 enforcement actions related to fraudulent …
-
Senate Confirms Brainard, Biden Nominates Barr for Vice-Chair of Supervision
The Senate is still expecting to vote on Jerome Powell’s nomination to serve another four-year term as …
-
SEC EXAMS Division Releases Risk Alert on MNPI
The SEC staff found evidence of advisers that “did not have policies and procedures in place to assign …
-
Gensler Delivers Remarks on Fixed Income Markets
Gensler stated “a greater share of bond ownership has shifted to registered investment companies, like …
-
Ropes & Gray Report Summarizes Key Industry Conference
A memorandum from Ropes & Gray’s summarizes the 2022 Investment Management Conference sponsored by the …
-
Ropes & Gray Alert Discusses Closed-End Funds Ruling
The district court focused principally on the definition of “voting security” under the 1940 Act to inform …
-
Gensler Discusses “Team Cyber” and Recent Rule Proposals
Gensler stated he has “asked staff to consider recommendations around how we can further address cybersecurity …
-
Senate Banking Ranking Member Toomey Releases JOBS Act 4.0 Discussion Draft
The JOBS Act 4.0 would, among other things, expand the definition of “qualifying investments” by venture …
-
President Biden Releases FY2023 Proposed Budget
In the SEC’s 2023 congressional budget request Chairman Gary Gensler requested $2.149 billion for the …
-
House Financial Services Subcommittee Examines Stock Exchanges
The hearing focused on topics such as access to market data, anti-money laundering policies, and competition …
-
SEC Division of Examinations Announces 2022 Priorities
EXAMS will focus on private funds, ESG investing, retail investor protections, information security and …
-
SEC’s $2.15 Billion Budget Ask Includes 400 New Positions
For FY 2023, the SEC is seeking to increase its workforce by 400 positions, including 125 positions in …
-
Birdthistle Stresses Importance of Investor Participation, Fiduciary Duty under 36(b)
IM Division Director Birdthistle: “If a substantial portion of costs are being drawn out of investment …
-
Finra Reminds Members of the Scope of Rule Pertaining to Potential CCO Liability
The notice regarding CCO liability follows efforts to address concerns regarding increased enforcement …
-
Biden Releases Order on Cryptocurrency
The order also notes the importance of mitigating risk in illicit finance and national security posed …
- Webinar Archive - Mutual Fund Litigation and Enforcement Update