The Investment Company Institute urged the SEC to reconsider its proposed rulemaking in several areas, arguing that the aggregate impact of "significant deficiencies" in the "interconnected" rulemakings are likely to have negative impacts on regulated investment funds.
News & Insights
21975 News Results
The MSRB examined potential causes of recent increases in secondary market customer costs for fixed-rate municipal securities. The rise in these costs, as measured in effective spread, reversed a consistent downward trend for over a decade.
The SEC adopted significant new regulation of private fund advisers under the Advisers Act, as well as other requirements that apply to all SEC-registered investment advisers.
The Managed Funds Association criticized the economic analysis included in an SEC proposal to require reporting of large positions in security-based swaps.
The SEC adopted amendments to narrow the scope on a broker-dealer exemption from FINRA membership.