Browsing Tag
U.S. Securities and Exchange Commission (SEC)
116 posts
Why SEC Fiduciary Rule Reg Sounds Right
The rollback of unnecessary regulation is reaping rewards, depending of course on one’s definition of unnecessary. We’re not…
SEC to Enter Fiduciary Rule Fray?
Thinks it’s over? It ain’t over, it’s just changing venues. Michael Piwowar doesn’t like the Department of Labor’s…
SEC, DOL Fought Over 401(k) Fiduciary Rule
The Securities and Exchange Commission and Department of Labor fought mightily over provisions in the fiduciary proposal, discord…
SEC Proposes New Liquidity Rules for Mutual Funds and ETFs
The Securities and Exchange Commission voted last week to propose a “comprehensive package” of rule reforms designed to…
Problems at PIMCO as SEC Investigation Heats Up
The rough ride for PIMCO just got rougher. The Newport Beach-based bond giant revealed last week that it…
SEC’s Stein Takes Aim at Alternative Mutual Funds
Securities and Exchange Commissioner Kara Stein is starting to see “some cracks in the foundation” of the regulatory…