SEC standards-of-conduct package draws praise and criticism following its passage June 5.
The Senate confirmed Heath P. Tarbert to serve as chairman of the Commodity Futures Trading Commission.
The SEC's standards-of-conduct package will protect investors and mitigate confusion in the industry, Chairman Jay Clayton said.
The DOL posted a large increase in enforcement actions in 2018, but has been far less active in providing guidance on hot-button issues.
Stakeholders with a host of backgrounds are awaiting the SEC's final rule on Reg BI, the implications of which remain to be seen.
Financial trade groups urge changes to a proposed rule that would set a new method for calculating the exposure amount of derivatives.
The Financial Stability Oversight Council proposed changes to how non-banks can be designated systemically important financial institutions.
The ILPA urged the SEC to uphold "fiduciary protections that investors are facing in the private equity market."
With no consensus approach for protecting data, the retirement industry has developed standards that are gaining traction. But more work is needed.
Heath P. Tarbert will be nominated to serve as commissioner and chairman of the Commodity Futures Trading Commission.
Calls for more transparency could produce new regulations for proxy advisory firms.
The new DOL proposed rule on open multiple employer plans is a step in the right direction, but more work is needed, sources say.
The Financial Stability Oversight Council rescinded Prudential Financial's designation as a non-bank systemically important financial institution.
The current state of the financial services regulations in the U.S. is described as a patchwork. Agencies are trying to change that.
Democrats have yet to nominate an SEC commissioner even as a Republican nominee makes his way through Senate hearings.
As cryptocurrencies continue to grow, investors favor increased regulation, but what that regulation might look like remains to be seen.
The SEC adopted a rule that will allow investment funds to post shareholder reports and other required materials online beginning in 2021.