Privilege ruling could discourage cooperation

Law firm’s willingness to cooperate with SEC inadvertently waived client privilege

Jason Bisnoff 15 December, 2017

Buy-side asks SEC to rein in exchange data fees

Fund firms say exchanges are overcharging them for crucial trading data

Stan Wilson 13 December, 2017

SEC delays N-PORT over cyber concerns

Firms still need to collect data, make it available to commission upon request

Marissa Capodanno 11 December, 2017

DIM revives director outreach initiative

Blass prioritizes review of board duties, begins engagement phase of project

Marissa Capodanno 11 December, 2017
Division of Investment Management

TIAA managing director rejoins SEC

Paul Cellupica said work on a standard of care will be a priority for DIM

Jason Bisnoff 5 December, 2017

SEC panel complicates outlook for e-delivery

Field testing may complicate a proposal that’s not at the top of the SEC’s agenda

Stan Wilson 3 December, 2017
SEC, mutual fund industry regulator, mutual fund boards

Q&A: Susan Olson, general counsel, Investment Company Institute

Incoming GC plans to draw from international experience

Marissa Capodanno 3 December, 2017

DOL fiduciary rule exemptions officially delayed

Best interest contract exemption and principal transaction exemptions delayed 18 months

Noah Zuss 30 November, 2017

Funds have stake in tax reform outcome

Tax reform could present fund-specific implications likely to surface in a burst of amendments to the final version of the bill,

Stan Wilson 29 November, 2017

Enforcement ebbs in 2017

New priorities may be more fully reflected next year, attorney says

Jason Bisnoff 20 November, 2017

Blass welcomes Treasury report

Request to speed up ETF applications may clash with other ETF rulemaking

Stan Wilson 15 November, 2017
Division of Investment Management

ICI questions vendor role in liquidity bucketing

Vendor assessments of large funds vary too widely, group says

Stan Wilson 10 November, 2017
SEC, mutual fund industry regulator, mutual fund boards

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