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SEC to be remote through Jan. 3, sources say
Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.
Blame another regulatory change on the pandemic. The NFA has revised its rule regarding reporting branch offices on Form 7-R because of the continuing turmoil ...
“You don’t want to get into a world where the unvaccinated are treated as the Lepers of the workplace”
One lesson from a recent DOE exam was to disclose the receipt of a PPP loan. On more than one occasion, SEC staff have indicated ...
These FAQs are directed at BDCs and mutual funds
Would-be SEC chairman Gary Gensler had a fairly sunny day of it at his Senate confirmation hearing, but there was a brief rumble that, for ...
No need to report home offices as "long as the employees are temporarily teleworking as part of the firm’s business continuity plan due to circumstances ...
This statement updates the Division’s position of January 5, 2021, by extending the expiration date of the staff position from March 31, 2021 to March 31, ...
Warf recalls nurses waking him to say, “‘we’re taking you to the ICU,’ which, of course, scared me to death”
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