But the drafters of the Investment Company Act and Investment Advisers Act devised a regulatory structure with a broad and sturdy foundation. The past ...
Commissioners Daniel Gallagher and Michael Piwowar issue a statement about security-based swap rules
We strongly believe that the Commission must finish its work in this area, especially given that the CFTC completed its rules almost two years ago. ...
This online resource, which will be updated regularly, will bring together information about our rules in a single site where the public can more easily ...
Today, a federal jury in Chicago found defendants Ralph J. Pirtle and Morando Berrettini liable for insider trading in violation of Section 10(b) of the ...
Cybersecurity is clearly a concern that the entire business community shares, but it represents an especially malicious threat to smaller businesses. The reason is simple: ...
A fund must manage the liquidity of its portfolio to ensure that redemption requests can be fulfilled in a timely manner while also minimizing the ...
Liquidity risk management is not an exact science. But, it is vitally important that open-end funds and their advisers get it right. For if they ...
The proposals before us today are an excellent example of a Commission initiative that focuses on our core responsibilities – what I often refer to ...
I support publishing today’s proposal for public comment, but I am concerned about the rule’s three-day liquid asset minimum requirement. While in practice many funds ...
I am concerned that the proposal does not go far enough in certain areas. In particular, we have seen a steady increase in the number ...