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Sep 27, 2013
SEC Finalizes Municipal Advisor Registration Rule
Sep 10, 2013
SEC Finalizes JOBS Act Rule, Ends Ban on General Solicitation for Some Securities Offerings
Sep 10, 2013
Bill Would Change Registration for Brokers Connected with Certain Transfers of Ownership
Sep 10, 2013
Eurex Misstep Leads to SEC Warning on Security-based Swaps
Sep 9, 2013
Kara Stein Sworn in as SEC Commissioner
Sep 5, 2013
DOL Lets Plan Sponsors Reset Timing Of Annual Charts for Participant Fee Disclosure
Aug 15, 2013
SEC Chair Says Coordinating with DOL on Unified Fiduciary Standard Not on ‘Front Burner’
Aug 15, 2013
Picture of Hedge Fund Industry Emerges from Dodd-Frank Filings
Aug 14, 2013
No ‘Egregious’ Notice Failure: Appellate Judges Uphold Solvay Plan Conversion Notice
Jul 24, 2013
DOL Advisory Opinion Says Revenue Sharing Not a Plan Asset
Jul 24, 2013
SEC Hears Opposition to Floating NAV for Money Market Funds
Jul 1, 2013
FATCA Backlash from Abroad Over Privacy Concerns
Jul 1, 2013
Labor Dept. Proposes Relief for IRA ‘Cross-collateralization’ Guarantees
Jun 12, 2013
Fed Reminds Banks about Swap Clearing Rules
Jun 2, 2013
Private Funds Must Manage Risk, Prepare for Exams In New Regulatory Environment
Jun 1, 2013
SEC Delays Part of Large Trader Reporting Rule Until November
Jun 1, 2013
SEC Proposes Rules and Guidance for Cross-border Security-based Swaps
May 2, 2013
Waters Seeks to Increase Exam Frequency with Bill Authorizing SEC to Collect User Fees
May 2, 2013
SEC Releases Guidance on Social Media Use by Mutual Funds, Public Companies; More Expected
May 2, 2013
New SEC Enforcement Regime Takes Shape; Mary Jo White Sworn in as Chairman
Mar 29, 2013
No Mathematical Formula for Best Execution
Mar 29, 2013
Dodd-Frank a ‘Recipe for Failure’ for SEC, Says Former Chairman
Mar 29, 2013
Ex-SEC Chief Sees Growing Imposition of Foreign Laws on U.S. Advisers (and Vice Versa)
Mar 28, 2013
As SEC Steps up Regulatory Enforcement, Expert Tips for Before and After the Exam
Mar 27, 2013
SEC Chair White Wants Exchanges To Protect Against Technological Failures
Mar 6, 2013
Lew Sworn in as Treasury Secretary
Feb 28, 2013
First Wave of New Registrants Under Dodd-Frank
Feb 27, 2013
SEC Names Acting Enforcement Director in Wake of Khuzami’s Departure
Feb 27, 2013
LEI to Become System for Monitoring OTC Derivatives Transactions Worldwide
Feb 26, 2013
Plan Participants Again Sue Fidelity for Allegedly Profiting from ‘Self-Dealing’
Feb 14, 2013
DOL Provides Assurance on Swap Transactions Involving Pension Funds
Feb 8, 2013
SEC Chair and Treasury Nominees Draw Raft Of Comments Ahead of Confirmation Hearings
Feb 1, 2013
Bank of America Wins Suit Over Investing In Affiliated Funds
Feb 1, 2013
News Briefs
Feb 1, 2013
FinCEN Extends FBAR Deadline Again
Jan 31, 2013
Fund Valuation Practices in Spotlight: SEC Looks to Sanction Directors Over Delegation
Jan 19, 2013
Staff Changes at SEC
Jan 15, 2013
Ameriprise Case Includes Accusations Of Excessive Fees
Jan 12, 2013
IRS' 2012-13 Priorities Include Guidance for Investment Advisers
Jan 9, 2013
SEC Gets New Chairman but Has Empty Seat; Other Rotations Usher in the Unknown
Jan 4, 2013
CFTC Issues Flurry of No-action Relief Letters Ahead Of Year-end Regulatory Deadlines
Dec 31, 2012
Former Verizon Managers Lose Bid to Block Conversion of Pension Plan to Annuities
Nov 30, 2012
Industry 'Disappointed' in FSOC Move On Money Market Reforms
Nov 30, 2012
Treasury Issues Final Determination On FOREX Exemption from Central Clearing Rules
Nov 30, 2012
Unfinished Dodd-Frank Business Looms over 2013
Oct 31, 2012
Temporary Relief Issued on Certain FOREX Swaps
Oct 31, 2012
Some CFTC Relief for Foreign Derivatives Dealers Doing Business with U.S. Firms
Oct 31, 2012
IRS Issues Timeline for Compliance with FATCA
Oct 31, 2012
Funding Stabilization May Lead To De-emphasized Risk
Sep 30, 2012
U.S., Britain Sign First Bilateral FATCA Agreement

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