By Robert Herz2016-10-12T11:45:00
A host of private and regulatory groups are making big strides in improving disclosure effectiveness. Robert Herz has more.
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2017-03-14T12:45:00Z By Joe Mont
Investors, especially those lacking financial literacy skills, may soon benefit from the SEC’s efforts to modernize its disclosure regime and filing requirements.
2026-03-26T18:01:00Z By Jaclyn Jaeger
The former U.S. chief compliance officer of London-based hedge fund Capula Investment Management, who alleged he was fired for escalating “significant regulatory compliance issues” to senior management, refiled his lawsuit in state court after his original complaint was dismissed in federal court on jurisdictional grounds.
2026-03-19T21:08:00Z By Aaron Nicodemus
The U.S. Securities and Exchange Commission’s Mark Uyeda told an audience of investment advisers that the SEC will no longer prioritize stand-alone enforcement actions for violations of the SEC’s rules on off-channel communications.
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