After a pause, the SEC's administrative proceedings are up and running again
Industry feedback on Reg. BI has left the SEC with dozens of questions and comments to digest
The SEC received thousands of form letters on Reg. BI, but how should they threat them?
If patience is a virtue, those in the exchange-traded fund industry are approaching sainthood
Recent challenging regulations are dying, but compliance teams still face a difficult road ahead
CCOs need to keep one eye abroad
Another round of elections is already almost here, and with it a renewed warning for compliance officers
As the DOL fades, the SEC comes out with a new proposal
The DOL's rule was struck down, but will firms change their practices?
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