Regulation

Supreme Court hears arguments on whether state mandates are pre-empted by ERISA

Supreme Court hears arguments on whether state mandates are pre-empted by ERISA

The question of whether state reporting mandates for benefit plans are pre-empted by ERISA was argued before the Supreme Court on Wednesday.

December 02, 2015 | 01:44 pm
Supreme Court hears arguments in securities lawsuit jurisdiction case

Supreme Court hears arguments in securities lawsuit jurisdiction case

The Supreme Court heard arguments Tuesday in a case challenging whether investors can sue in state courts for securities violations.

December 01, 2015 | 03:41 pm
DOL proposal on state plans raises concerns from providers

DOL proposal on state plans raises concerns from providers

Proposed rules from the Department of Labor that give the green light to states to consider creating retirement savings programs for some private-sector workers are raising concerns among service...

November 30, 2015
SEC proposal  aims spotlight on dark-pool operations

SEC proposal aims spotlight on dark-pool operations

Dark pools and other alternative trading systems would be required to file detailed disclosures about their operations, and the activities of their broker-dealer operator and its affiliates as part...

November 30, 2015
SEC management enforcement unit evolves into respected watchdog

SEC management enforcement unit evolves into respected watchdog

As the Securities and Exchange Commission celebrates the fifth anniversary of an enforcement unit dedicated to the money management industry, people inside and out of the agency say the unit has led...

November 30, 2015

High-speed trading would face U.S. scrutiny in new CFTC plan

The top U.S. derivatives regulator took its biggest step yet to increase surveillance of high-speed and other forms of computer-driven trading that have surged in recent years, while presenting new...

November 25, 2015 | 03:26 pm

U.K. watchdog slates review of competition in money management

The U.K. Financial Conduct Authority in 2016 will examine the value proposition of money managers, as well as the effect of investment consultants on institutional money management.

November 18, 2015 | 12:40 pm
Proposed rules for state secure choice plans released by DOL

Proposed rules for state secure choice plans released by DOL

The Department of Labor on Monday released proposed rules that would allow states to set up mandated payroll deduction IRA programs for private-sector employees, along with interim guidance to...

November 16, 2015 | 12:28 pm

IRS schedules hearing on multiemployer vote

The IRS will hold a hearing Dec. 18 on proposed rules for the voting process for multiemployer pension plan participants in distressed plans seeking benefit reductions, the agency said in a notice...

November 16, 2015 | 03:46 pm
Partnerships facing new level of scrutiny from IRS

Partnerships facing new level of scrutiny from IRS

Private fund investors and managers are hearing a clear message from Washington: Partnerships that until now have received little attention from the IRS could soon face a new audit regime, with more...

November 16, 2015
New Labor guidance clears way for fiduciaries to incorporate ESG

New Labor guidance clears way for fiduciaries to incorporate ESG

The Department of Labor's revised guidance on economically targeted investments is a major breakthrough for asset owners and other institutional investment fiduciaries, as well as responsible...

November 11, 2015 | 02:36 pm

ERISA Industry Committee asks IRS, Treasury for lump-sum clarifications

The ERISA Industry Committee on Thursday asked officials at the Department of Treasury and the IRS to clarify their July 9 decision to no longer permit lump-sum payments to people already receiving...

November 05, 2015 | 03:46 pm

Panelists at FIA conference debate regulatory effects on Treasury market

Different actors in the Treasury market are facing different impacts from regulatory changes and the move to more electronic trading, said panelists at a Futures Industry Association conference in...

November 04, 2015 | 03:17 pm

Canada's Trudeau enlists former Morneau Shepell CEO as finance minister

Bill Morneau was named finance minister by Canadian Prime Minister Justin Trudeau.

November 04, 2015 | 01:47 pm

Fenway Partners settles charges with SEC alleging failures to disclose conflicts

Fenway Partners and four of its executives will pay about $10.2 million total to settle charges by the SEC that they failed to disclose conflicted arrangements to a fund client and investors, the...

November 03, 2015 | 04:01 pm