IA Rules & Regulatory Actions

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 ...

This is the Department of Labor's rule proposal from 2023 that would revise ERISA's fiduciary duty definition

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 ...

"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 ...

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 ...

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

In connection with BlackRock’s investigation of potential misconduct by Aviron’s CEO, BlackRock identified its reporting errors

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 ...