SEC Commissioner Elad Roisman recommended that the agency consider additional guidance for asset managers with respect to the use of proxy advisory firms.
In comments submitted to the U.S. Senate Banking Committee, SIFMA and the Managed Funds Association offered feedback on data privacy, protection and collection.
The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief to two CPOs from registration, provided that each delegates its regulatory responsibilities under the CEA to a registered CPO.
An investment adviser and its former chief operating officer agreed to settle SEC charges related to the manipulation of an auction involving a commercial real estate asset.
North American Securities Administrators Association President Michael Pieciak offered recommendations on how the SEC can improve Regulation Best Interest to benefit investors.
NFA barred a former CPO and its principal from NFA membership for one year for using misleading promotional materials concerning the CPO's performance.
In connection with the Share Class Selection Disclosure Initiative, the SEC settled charges against 79 investment advisers, who will collectively return over $125 million to clients.
The National Futures Association reminded members of the effective date for amendments to the Interpretive Notice relating to information systems security programs.
