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Feb 23, 2016
Obama Asks Congress to Double SEC Budget, Increase Adviser Exams
Feb 22, 2016
Registration Regime for Overseas Swaps Counterparties Coming into Focus, But Not There Yet
Feb 17, 2016
Hedge Fund Manager To Pay Back Nearly $3M in Investor Losses
Jan 28, 2016
Fund Advisers, Directors Get New Guidance on Intermediary Payments
Jan 28, 2016
OCIE to Continue Focus on Retail, Market-wide Risk and Data Analysis in ’16
Jan 21, 2016
District Court Dismisses Participant Suit vs. Newly Overfunded US Bank Pension Plan
Jan 6, 2016
Latest ‘Excessive Fee’ 401(k) Lawsuit Filed Against PEO Insperity
Dec 24, 2015
DOL’s Proposal to Let States Run Private-sector Retirement Plans Meets Industry Criticism
Dec 24, 2015
JPMorgan Pays $367M to Settle Charges Of Failure to Disclose Conflicts of Interest
Dec 24, 2015
Outgoing Commissioner Addresses the Double-edged Sword of Data
Dec 24, 2015
SEC Proposal to Regulate Fund Companies’ Use of Derivatives Released
Nov 21, 2015
N.Y. Advisory Firm Pays $1M to Settle Custody Rule Violation Charges
Nov 21, 2015
Investment Adviser Must Pay $15M for ERISA Breach in Counseling Plan, Judge Rules
Nov 19, 2015
IAA Asks FinCEN to Limit Bank-style AML Reporting Requirements on Advisers
Nov 19, 2015
SEC Commissioner Aguilar to Step Down
Nov 13, 2015
Novant Health Settles ‘Excessive Fee’ Participant Suit for $32M
Oct 23, 2015
DOL Rescinds ERISA Guidance Discouraging Consideration of Sustainable Investment by Fiduciaries
Oct 22, 2015
SEC Wraps Up another Record Enforcement Year, Raking in $4.2 B in ‘15
Oct 20, 2015
Recordkeeping Fees for DC Plans Continue to Slide; Fixed-dollar per Head Formulas Rise
Oct 19, 2015
First ‘Distribution in Guise’ Case: What Does it Say About the SEC’s Intentions?
Sep 30, 2015
SEC Finalizes Money Market Fund Rule
Sep 28, 2015
SEC Proposes Expanding Risk-data Collection to Mutual Funds, ETFs
Sep 28, 2015
Adviser, Subsidiary Hit with $40M Fine In Distribution-in-guise Crackdown
Sep 26, 2015
Citigroup Global Markets to Pay $15M for Compliance and Surveillance Failures
Sep 11, 2015
DOL Extends, Again, Comment Period for Fiduciary Rule; New Deadline Is Sept. 24
Aug 26, 2015
Mutual Fund Companies Often Put Their Interests First in 401(k) Investment Menus, Study Finds
Aug 26, 2015
IAA Asks SEC to Pare Back Scope of Risk Data Collection in Form ADV
Aug 26, 2015
Court Upholds Ruling that Plan Sponsor Let Trustee Influence 401(k) Mapping; Denies Damages
Aug 22, 2015
Department of Labor DOL Rethinks ‘Fiduciary’ Definition — The Next Stage
Aug 22, 2015
Citigroup Affiliates to Pay $180M to Settle Hedge Fund Fraud Charges
Jul 26, 2015
DOL Sues Fiduciary Who Allegedly Sought to Transfer 401(k) Plan Assets to Self
Jul 24, 2015
FSB Signals a Shift in Thinking on Asset Manager Systemic Risk
Jul 22, 2015
SEC Pays $3 Million to Whistleblower
Jul 21, 2015
Regulators Broaden Push for Bond Market Surveillance
Jul 20, 2015
Bipartisan Bill Would Give SEC More Firepower
Jun 25, 2015
Regulators and Industry Unite Against ‘SIFI’ Designations for Funds, Advisers
Jun 24, 2015
Fund Adviser, Board Members Get Hands Slapped By SEC for ‘Rubber-stamping’ Contract, Fees
Jun 24, 2015
About 25% Considering Dropping Own Stock in Retirement Plans After Fifth Third Ruling
Jun 23, 2015
SEC Seeks Comment on Exchange-traded Products
Jun 23, 2015
Short Seller to Pay $1 Million for Trade Violations
Jun 23, 2015
DOL Further Extends Comments Period for Fiduciary Rule; Sets Hearings Aug. 10-13
Jun 18, 2015
Got Your 'LEI' Yet? SEC Comm'r Stein Wants Program to Grow Faster
May 27, 2015
SEC Encourages Funds, Advisers to Take Stock of Readiness for Cyber Attacks
May 27, 2015
Fiduciaries Have Ongoing Duty to Monitor, Says Supreme Court in Vacating Tibble Decision
May 27, 2015
SEC Imposes $8 Million Fine for ‘Late’ Processing Of Annuity Redemptions
May 27, 2015
SEC Seeks to Collect More ‘Risk’ Data From Advisers, Fund Companies
May 18, 2015
DOL Extends Comments for Fiduciary Definition Rule by 15 Days in Response to Requests
Apr 29, 2015
Firm’s Confidentiality Agreements Improperly Impeded Whistleblowers, SEC Charges
Apr 29, 2015
DOL Proposal Likely to Affect Many Plan Investment Service Providers
Apr 29, 2015
SEC Whistleblower Award to Compliance Officer Tops $1 Million

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