The DOL proposed a rule that would clarify the duties of ERISA plan fiduciaries on proxy voting.
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U.S. House Financial Services Committee members reintroduced a bill that would block states from imposing financial transaction taxes on, among other securities industry participants, stock exchanges and broker-dealers.
The Congressional Research Service provided an overview of "selected banking-related issues that may attract congressional interest in the 117th Congress."
Office of New York Attorney General Letitia James issued investor and industry alerts warning of the "extreme" risk associated with investment in virtual currencies.
In response to an SEC request for comment on broker-dealer and investment adviser digital engagement practices, SIFMA asserted that existing regulations are sufficient to address potential misconduct.