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Long-awaited advertising regulations allow for online testimonials but also increased risk of audits, observers and commissioners say.December 30
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Existing regulations that protect investors and deliver clarity to the industry must be preserved by the incoming administration, writes Financial Services Institute CEO Dale Brown.November 20President and CEOFinancial Services Institute
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Democrat Joe Biden is expected to name his SEC chairman pick in the coming weeks.November 16
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Investor advocates, religious groups and proponents of ESG investing argue the changes are a gift to business lobbyists that will muzzle corporate critics.September 24
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The 4,000-person regulator in March was one of the first federal agencies to tell employees to stay home due to the public health emergency.July 14
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Almost 90% of smaller fund managers would no longer have to report their investments and their firms would save $136 million a year, the agency estimates.July 13
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The regulator was one of the first U.S. agencies to tell employees to stay home during the pandemic,May 19
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The relief allows funds to obtain cash infusions through collateralized loans until the end of June.March 26
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Regulatory relief applies to advisors and investment funds but the commission stresses that fiduciary obligations still apply.March 19
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“This is a demand and supply shock,” Jay Clayton said, adding that he’s concerned businesses might not have access to all the credit they need.March 17