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IA Rules & Regulatory Actions

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Some commenters also asserted that the proposed amendment to Rule 13d-1(b) raises significant concerns regarding harm to investment advisers and funds and would impose substantial ...
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This is the Department of Labor's rule proposal from 2023 that would revise ERISA's fiduciary duty definition
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The DOL proposes to exclude investment advice fiduciaries from relief for the transactions described in Section III(a) through (f) of current PTE 84-24. The relief ...
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"PTE 77-4 provides relief for a plan’s or IRA’s purchase or sale of open-end investment company shares where the investment adviser for the open-end investment ...
The proposed amendment would retain the Best Interest standard from PTE 2020-02. The DOL proposes to add an example to the specifying that it is ...
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These new rules and forms would create a regime for the registration and regulation of security-based swap execution facilities and address issues related to security-based ...
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The SEC adopts new Rule 13f-2 and new Form SHO, which would require institutional investment managers that meet or exceed certain specified reporting thresholds to ...
This is the Department of Labor's 2023 proposed rule redefining a fiduciary under ERISA
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In connection with BlackRock’s investigation of potential misconduct by Aviron’s CEO, BlackRock identified its reporting errors
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The Canadian-based exempt reporting adviser has since undertaken certain remedial steps, including updating and revising its Rule 105 policies and procedures to prevent future Rule ...

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