SEC Issues New Guidance Regarding Proxy Voting Responsibility of Investment Advisers and the Applicability of Proxy Rules to Proxy Voting Advice
SEC Adopts Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Participants
SEC Adopts Rules and Interpretations To Enhance Protections and Preserve Choice for Retail Investors
Supreme Court Limits Scope of Dodd-Frank Whistleblower Protections
DOL Proposes to Delay Fiduciary Advice Rule, Requests Comments on Delay and on Costs, Benefits of the Rule
SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors
SEC 2016 Examination Priorities Focus on ETFs, Cybersecurity and Liquidity Controls for Fixed-Income Funds
SEC Proposes Liquidity Management Rules for Mutual Funds and ETFs
IRS Addresses RIC Asset Diversification Requirements
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