Regulation
The Labor Department issued guidance to address frequently asked questions for multiemployer plans receiving special financial assistance.
The Financial Stability Oversight Council issued a proposal that would improve its ability to oversee non-bank financial institutions.
The “regulatory deluge” underway at the SEC is uncoordinated and largely unnecessary, SEC Commissioner Mark T. Uyeda said.
The Labor Department plans to challenge a federal court decision vacating guidance that established rollover recommendations as fiduciary advice.
The SEC is proposing major changes to the U.S. equity markets, some of which institutional investors favor and others oppose.
The SEC will reopen the comment period on a proposal that would expand the definition of "exchange" under the Securities Exchange Act of 1934.
The Supreme Court unanimously ruled that SEC charges can be challenged in U.S. District Court before the agency settles the matter in-house.
Hedge fund manager Chatham Asset Management and founder Anthony Melchiorre agreed to pay $19.4 million to settle SEC charges.
The trading settlement cycle will be shortened from T+2, and months of planning and testing are needed to ensure the transition goes smoothly.
Some industry leaders and commissioners themselves have expressed concerns about the pace of the SEC's rule-making.
