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SEC’s Champ: Hedge & Mutual Fund Advising Don’t Mix SEC’s Champ: Hedge & Mutual Fund Advising Don’t Mix Posted 25/09/2014 18:45:31

Principal Fails To Get 36(b) Case Dismissed Principal Fails To Get 36(b) Case Dismissed Posted 17/09/2014 22:13:25

Lobbies Woo CFTC By Narrowing Request Lobbies Woo CFTC By Narrowing Request Posted 09/09/2014 21:51:46

Pre-Trial Preliminaries Wind Up In Pay-To-Play Suit Pre-Trial Preliminaries Wind Up In Pay-To-Play Suit Posted 03/09/2014 20:57:43

N.Y. Fed Comes Out Against Money Fund Fees, Gates N.Y. Fed Comes Out Against Money Fund Fees, Gates Posted 28/08/2014 22:12:03

Fiduciary Harmonization On Hold Fiduciary Harmonization On Hold Posted 21/08/2014 20:21:00

Industry Fan of TDF Risk Disclosure Huddles With SEC Industry Fan of TDF Risk Disclosure Huddles With SEC Posted 21/08/2014 19:30:23

SEC’s Pay-To-Play Rule Goes To Court SEC’s Pay-To-Play Rule Goes To Court Posted 18/08/2014 19:59:33

Senators: Fed Needs To Be More Transparent On SIFIs Senators: Fed Needs To Be More Transparent On SIFIs Posted 14/08/2014 19:01:11

SIFMA Wants Regulation In TTIP Negotiations SIFMA Wants Regulation In TTIP Negotiations Posted 14/08/2014 18:56:01

FSOC Eyes Lending Market Haircuts FSOC Eyes Lending Market Haircuts Posted 12/08/2014 17:33:51

Piwowar Pushes Muni Reforms Piwowar Pushes Muni Reforms Posted 06/08/2014 21:18:48

Sub-Advisor Fee Payout Move Gets No-Action Relief Sub-Advisor Fee Payout Move Gets No-Action Relief Posted 31/07/2014 19:34:43

SIFI Squelch Possibility Pops Up On Capitol Hill SIFI Squelch Possibility Pops Up On Capitol Hill Posted 30/07/2014 22:18:18

Obama Admin Nudges Senate On Cyber Security Obama Admin Nudges Senate On Cyber Security Posted 30/07/2014 22:16:35

Prime Funds Seek Escape Routes From NAV Float Prime Funds Seek Escape Routes From NAV Float Posted 25/07/2014 17:09:19

Industry Asks For TOB Volcker Fixes Industry Asks For TOB Volcker Fixes Posted 21/07/2014 22:17:37

Other Cash Vehicles May See Money Funds-Style Reform Other Cash Vehicles May See Money Funds-Style Reform Posted 17/07/2014 20:03:39

SEC Panel Wants To Change Accredited Investor Definition SEC Panel Wants To Change Accredited Investor Definition Posted 16/07/2014 20:14:00

SEC’s Blass Lands ICI General Counsel Gig SEC’s Blass Lands ICI General Counsel Gig Posted 15/07/2014 21:28:28

ICI Looks To APEC For Passport To More Sales ICI Looks To APEC For Passport To More Sales Posted 14/07/2014 22:15:15

Cybersecurity Bill Moves In Congress Cybersecurity Bill Moves In Congress Posted 10/07/2014 19:37:25

Lobbies, BlackRock Jostle With Regulators Over Target Dates Lobbies, BlackRock Jostle With Regulators Over Target Dates Posted 10/07/2014 19:12:59

Opposing Briefs Clash In Federated Case Opposing Briefs Clash In Federated Case Posted 09/07/2014 21:15:44

SEC Lowers The Boom On Proxy Firms, Advisers SEC Lowers The Boom On Proxy Firms, Advisers Posted 03/07/2014 19:02:30

Dual Glidepath Measure Pitched For Target-Date Fund Risk Dual Glidepath Measure Pitched For Target-Date Fund Risk Posted 01/07/2014 20:46:01