Continue Reading SEC Proposes Rules Regarding Accredited Investors
SEC Staff to Congress: Brokers Should be Subject to a Uniform Fiduciary Standard
Disclosure for Asset-Backed Securities Related to Representations, Warranties and Repurchase Histories
GAO Report: Regulation of Financial Planners is Adequate
SEC Begins to Comment on Dodd-Frank Disclosures
Interagency Working Group Releases Report on Oversight of Carbon Markets
SEC Staff Concludes Insufficient Capacity to Examine Investment Advisers
Thus, the staff believes that the SEC likely will not have sufficient capacity in the near or long term to conduct effective examinations of registered investment advisers with adequate frequency.
Continue Reading SEC Staff Concludes Insufficient Capacity to Examine Investment Advisers
FSOC Issues Notice of Proposed Rulemaking Regarding Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies
