We intend to issue an order that would increase the dollar amount of the assets-under-management test from $1,100,000 to $1,400,000 and would increase the dollar ...
You have until June 1 to share your comments on this proposal with the DOL
Because Ally Invest’s affiliated broker-dealer received a rebate reflecting a portion of the interest that was generated by the cash held in the Cash-Enhanced Accounts, ...
The SEC and the CFTC have collaborated on this final rule that aims to provide regulatory guidance around the use of crypto assets and transactions ...
The new final rule buries once and for all the DOL's new fiduciary duty definition following a recent federal court decision but restates ERISA Prohibited ...
The proposed amendments would replace the terms “security” and “securities” in Rule 15c2-11 with the terms “equity security” or “equity securities” as related to what ...
"The ACH limit for filing fees will change from a maximum of $99,999,999.99 per transaction to $24,999,999.99 per transaction. Filers that need to exceed that ...
"To avoid duplicative examinations, the Parties will strive to conduct coordinated exam planning, joint or aligned examinations where appropriate, and share exam findings and supervisory ...
The SEC issues its first four FAQs related to fund of funds
This new SEC final rule, which takes effect March 18, aids compliance with the new Holding Foreign Insiders Accountable Act. This new law requires directors ...