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Regulation & Compliance

News

Money Funds Off Hook on SEC Credit Rating Rule

SEC reprieve for money funds that would require them to approve of the credit rating agencies they must use to determine whether a security is eligible for investment.

Adviser Groups Spar Over Fiduciary Solution

Two advisor trade groups - the Securities Industry and Financial Markets Association and Financial Planning Coalition, which consists of the Certified Planner Board of Standards, the Financial Planning Association and the National Association of Personal Financial Advisors - finally sent in their comment letters to the Securities and Exchange Commission regarding Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, or what the Commission should do about enforcing a blanket…

SEC Hires Regulatory Veteran John Ramsay

The SEC appoints John Ramsay deputy director of trading and markets division - a role that will be key to the Dodd-Frank bill.

BlackRock Argues Against Adding Asset Allocations to Target-Date Fund Name

In a letter to the SEC, investment management firm says it does support enhanced disclosure.

Merrill Lynch to Pay $2.5 Million Over UIT Discounts

Bank of America Merrill Lynch is set to pay $2.5 million in restitution and fines after failing to provide discounts to customers on a certain type of redeemable security, the brokerage industry's primary regulator said on Wednesday.

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Articles

At Deadline

SEC Weighs Different Advice Rules For Brokers, Advisors

Wary Investors Demanding CRM from Hedge Funds

Bernie Madoff and financiers of his ilk have changed the landscape for hedge fund managers forever.

SEC Votes to Propose Revamp of 12b-1 Fees

Long-contested issue finally meets the SEC impasse. But industry insiders say they're ready to fight.

At Deadline

Fund Managers: Ask More When it Comes to MiFID

Different lit and dark venues can take advantage of different trade reporting rules under MiFID.

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