The SEC is considering further regulatory action on its proxy adviser rules, much to the chagrin or delight of respective stakeholders.
The SEC is weighing several bitcoin ETF proposals and is soliciting comments on applications from Fidelity and SkyBridge Capital.
The government hopes reforms make employees agents of change, but analysts see constraints on asset allocators depressing retirement saving.
GWFS Equities agreed to pay $1.5 million to settle SEC charges that it failed to report attempts to hack into participants' accounts.
Institutional investors are encouraged that new SEC Chairman Gary Gensler has a track record of getting controversial things done.
U.S. regulators are considering tougher disclosure requirements for investment firms in response to the implosion of Archegos Capital.
The DOL's non-enforcement policy for two Trump-era rules is welcome news for fiduciaries, but an ESG-investing boom isn't expected just yet.
Marty Walsh will have a lot on his plate when he becomes labor secretary, but work on retirement issues is expected to continue.
The New York Stock Exchange is reconsidering a decision to halt the delisting of three Chinese firms after Trump administration objections.
The Securities and Exchange Commission approved the New York Stock Exchange's plan to allow so-called primary direct floor listings
A change in the White House is not expected to change pressure on Chinese companies in U.S. markets to be more transparent.
The DOL has proposed a rule to narrow the ability for ERISA-governed fiduciaries to cast proxy votes, much to the ire of some stakeholders.
The asset managers are speaking out against a plan that would make it more difficult to incorporate ESG factors into investment decisions.
More than 95% of respondents to the Department of Labor's proposal on ESG investments in ERISA plans say they oppose the initiative.
VALIC Financial Advisors agreed to pay $40 million to settle charges filed by the SEC alleging it failed to disclose conflicts of interest.
SEC changes to the way proxy advisory firms do business garnered mixed reviews from stakeholders.
SEC commissioners in a 3-1 vote approved sweeping changes to rules governing proxy advisory firms.
The SEC's Reg BI has taken effect, but in light of the pandemic, how it will be enforced remains to be seen.
Eileen Murray, former co-CEO of Bridgewater Associates, is to take the helm as chairwoman of the Financial Industry Regulatory Authority.
A Labor Department proposal aims to throw cold water on ESG investing practices in ERISA retirement plans.
The SEC's proxy proposal has garnered serious debate as stakeholders hold out for a compromise and perhaps another comment period.
A group of asset managers is calling on exchanges to come up with standard classifications of exchange-traded products to help investors.
Wilmington Trust agreed to pay $80 million to 21 employee stock ownership plans for which it served as trustee to resolve multiple lawsuits.
Managers and investors are excited but wary about potential returns from investments in securitized products from the Fed's TALF program.
The SEC rejected a proposal from Cboe Global Markets to introduce a speed bump in the U.S. equities markets.