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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 20
President 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
