SEC Publishes Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
SEC charges Prudential Financial units with seclending-related tax benefits at the expense of advised funds
SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers
Monday Regulatory Roundup: asset managers and indemnification; limiting regulatory rule making; level playing fields in Europe (Premium)
US Regulators issue statement on progress of analyzing the U.S. Treasury Market Structure since the July 2015 Joint Staff Report
The SEC wants to make sure mutual funds and ETFs are liquid for investors. This isn’t going to be as simple as it sounds.
SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers