Senate Banking Committee Ranking Member Elizabeth Warren warned that Stephen Miran’s nomination to the Federal Reserve Board of Governors furthers President Trump’s bid to undermine the Federal Reserve’s independence.

In its Spring Unified Agenda of Regulatory and Deregulatory Actions, the SEC outlined short- and long-term regulatory actions that administrative agencies plan to take.

In her farewell address, Commissioner Johnson weighed-in on emerging regulatory issues and highlighted how past crises demonstrate the costs of weak governance, inadequate compliance, and poor risk management.

According to a recent Investment Company Institute survey, most fund investors favor making e-delivery the default method for financial documents.

A firm settled FINRA charges for supervisory failures related to the creation and dissemination of consolidated account reports, which contained inaccurate information and omitted material disclosures.