Plaintiffs abandon First Eagle 36(b) complaint

Dismissal marks second case plaintiffs dropped this year

Jason Bisnoff 22 August, 2017

Consolidation still expected despite M&A slump

Talks turn to quieter asset sales over protracted corporate mergers

Marissa Capodanno 18 August, 2017

IAA wants fiduciary marketing exemption changes

Industry group says IAs explaining their services could trigger fiduciary relationships

Peter Rawlings 15 August, 2017

SEC says digital assets are securities

Federal securities laws govern initial coin offerings, virtual currencies and their platforms

Jason Bisnoff 14 August, 2017
Bitcoin, blockchain, virtual currency

OCIE sweep finds superficial cyber practices

SEC’s examiners say most fund companies’ cyber policies and procedures are too general

Stan Wilson 11 August, 2017
SEC, mutual fund industry regulator, mutual fund boards

DOL plots 18-month fiduciary rule delay

Not-yet-implemented parts of best interest contract exemption pushed to next July

Noah Zuss 10 August, 2017

ICI urges uniform approach to fiduciary standard

Industry group encourages SEC, DOL collaboration on amended best interest standard

Noah Zuss 10 August, 2017
Mutual fund regulation uniform fiduciary standard

DIM’s Grim to step down

Top mutual funds regulator to leave SEC after 20 years this month

Stan Wilson 4 August, 2017

Impact Shares nears ETF launch

Rockefeller grant underwrites non-profit’s plans for 3-6 ETFs; series trust board in the works

Marissa Capodanno 2 August, 2017

ICI votes to ax liquidity bucketing

Stevens sits down with Clayton, asks SEC to pull plug on asset classification

Stan Wilson 2 August, 2017

SEC seeks to end loan rule woes

Regulator reveals it is considering Reg S-X amendment

Stan Wilson 31 July, 2017
SEC, mutual fund industry regulator, mutual fund boards

Financial regulation hinges on quiet new FSOC bill

Industry observers predict deadlock without bipartisan lawmaking in the House

Stan Wilson 24 July, 2017
Financial regulation, investment management

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