Friday, October 30, 2020

Regulators Want ESG Funds to Justify their Strategies

Wednesday, July 19, 2017

Regulatory Actions Drive Lasting Change

Tuesday, June 20, 2017

Beefing Up Public Company Audit Reports

Thursday, December 29, 2016

SEC Chief Plans a Defiant Departure

Sunday, October 2, 2016

Reforming the Asset Management Industry is a Global Challenge

Thursday, August 25, 2016

The Long Reach of the SEC

Friday, July 1, 2016

FINRA and SEC to Focus on Advisor Fees

Friday, April 15, 2016

SEC Chair White and the Evolving Role of Fund Directors

Monday, February 29, 2016

SEC Expects its Cross-Border Swaps Regulations to "Level the Playing Field"

Thursday, February 11, 2016

SEC Rule Proposals Risk Unraveling the ETF Industry

Thursday, February 4, 2016

OFR Publishes Repo Survey Results. Calls for Better Data Standards.

Wednesday, January 20, 2016

Software Bug Leads to SEC Censure

Tuesday, January 19, 2016

Pushback on SEC Liquidity Proposals

Wednesday, January 6, 2016

Just How do Mutual Funds Use Derivatives Anyway?

Tuesday, January 5, 2016

Transfer Agent Regulation Poised to Step Into the 21st Century

Tuesday, December 15, 2015

SEC Proposes Derivatives Regime for Mutual Funds, ETFs, and BDCs

Tuesday, December 8, 2015

SEC to Propose Limits on Use of Derivatives by Mutual Funds

Thursday, July 23, 2015

Who Will Enforce the Volcker Rule, and How?

Wednesday, March 25, 2015

Congressional Republicans Want Answers on DOL and SEC Fiduciary Standards

Tuesday, March 17, 2015

A Call for Academics to Join Policy Debates Over Securities Regulations