Industry groups and firms like Fidelity, BlackRock and Vanguard strongly criticized the proposal in recent comments
The SEC said investment firms must avoid providing clients with false comfort about such payments
SEC looks to simplify fund disclosures Mutual fund and ETF disclosures may soon get a whole lot simpler, with the SEC this week rolling out a new proposal to overhaul fund…
The agency proposed new rules to streamline shareholder reports with a focus on performance, fees, and holdings
A new complaint says the marketing firm failed to compare active and index options
Dalia Blass said Division of Investment Management has been focused on private market access in recent weeks
The Financial Services Institute has slammed the agency’s suit against Cetera Advisers last year
Oanh Nguyen said the firm had an “impenetrable ceiling” keeping women from PM jobs
SEC warns on early CRS disclosures The SEC has issued an early warning to firms about potential problems officials have noticed with new disclosures they have had to start providing as…
The fund sector is pushing for carveouts similar to existing proprietary fund relief
