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The Securities and Exchange Commission voted unanimously on Wednesday to propose limits on mutual fund distribution fees and provide more transparency for investors.
July 21 -
The regulator said the company made negligent misrepresentations related to subprime securitizations.
July 21 -
The Securities and Exchange Commission is considering holding five field hearings between September and January as part of a nationwide inquiry on the municipal market that is expected to lead to recommendations for statutory and regulatory changes to better protect investors.
July 21 -
New authority granted to the Federal Reserve by the Dodd-Frank Act embodies a significant change in the thinking about, and approach to, functional oversight.
July 21 - Money Management Executive
Not-So-Fab: Fabrice Tourre, the Goldman Sachs bond trader at the center of the government's fraud probe against the firm, denied charges that he misled investors.
July 20 -
In five years as comptroller of the currency, John Dugan did not draw the limelight shined on other regulators. But as he gets ready to depart, there is no shortage of opinions on his tenure.
July 20 -
Goldmans settlement with the U.S. government comforted some Wall Street analysts who track the bank on Friday and news of the settlement spurred at least one of them to change their outlook on the company.
July 19 - Money Management Executive
July 22 - PennNYC Event: Midsummer Soiree With MIT & Yale - 6:30 p.m. - 9:30 p.m. The Highbar, 251 West 48th Street (between Broadway and Eighth Avenue, closer to 8th). RSVP: Marjoree.Chee.c02@alumni.upenn.edu More information: http://www.pennnyc.org/article.html?aid=361&nl=106
July 19 -
The DOL issued an interim final rule on 401(k) plan fee disclosure early Thursday.
July 16 -
The Securities and Exchange Commission said Thursday that Goldman Sachs agreed to pay $550 million and reform its business practices to settle charges that the securities firm misled investors in a subprime mortgage product
July 16
