Regulation

How often have sponsors had to intervene to prop up money market funds?

The regulatory board has revised its fees for various services in order to keep up with resource demands.

Hundreds of delinquent medium-sized RIAs must register with their respective states by today’s SEC deadline or face the prospect of being de-registered as early as Sept. 1.

Hundreds of medium-size RIAs are procrastinating and face the specter of de-registration by the SEC if they do not file for state registration by Thursday.

New Rule G-43 requires that broker's brokers make reasonable efforts to obtain fair and reasonable prices when conducting secondary-market "bid-wanted" auctions.

A new research initiative from the Insured Retirement Institute will promote streamlined licensing and registration processes.

As regulators and investors impose increasingly stringent transparency and reporting requirements, asset managers face new challenges in all aspects of data management.

Securities and Exchange Commission Chairman Mary Schapiro answered Paul Scott Stevens’ volley with one of her own in front of the Committee on Banking, Housing, and Urban Affairs of the United States Senate.

Gurudeo “Buddy” Persaud believed the earth’s gravitational forces impacts stock prices and that, under the influence of the moon, people tend to feel more dejected and sell off securities. In return, the SEC charged him with fraud.

On June 21, 2012, Securities and Exchange Commission Chairman Mary Schapiro today answered Paul Scott Stevens’ volley with one of her own in front of the Committee on Banking, Housing, and Urban Affairs of the United States Senate.