By Kyle Brasseur2023-07-13T14:23:00
The Securities and Exchange Commission (SEC) on Wednesday voted to approve rule changes affecting money market funds that the agency hopes fare better than previous efforts in the space.
The final rule, first proposed in December 2021, is aimed at improving the transparency and resiliency of money market funds, particularly in times of economic stress. The SEC cited the Covid-19 pandemic as a test to the market’s resiliency that exposed concerns the agency sought to address via rulemaking.
The new rule, as highlighted in an SEC fact sheet:
2023-07-17T17:54:00Z By Kyle Brasseur
Financial services firm Cantor Fitzgerald agreed to pay a $1.4 million penalty as part of a settlement with the Securities and Exchange Commission addressing alleged reporting failures.
2023-07-13T17:55:00Z By Aaron Nicodemus
The most popular mock exams conducted by compliance professionals at investment adviser firms this year have been on the Securities and Exchange Commission’s advertising/marketing rule, according to a new poll.
2023-05-04T14:59:00Z By Aaron Nicodemus
The Securities and Exchange Commission passed new amendments requiring advisers to hedge and private funds to disclose events that could indicate systemic risk or investor harm, a move the regulator said will improve transparency within $20 trillion of market activity.
2025-10-08T20:08:00Z By Ruth Prickett
Private companies that are keen to trade their shares but do not wish to become listed have gained another way to trade their shares. The U.K. government completed its initial review and published rules for the system in June.
2025-10-03T21:24:00Z By Adrianne Appel
While the Trump administration may have shifted away from pursuing small, white-collar, financial crimes, its focus on health care fraud cases is as hot as ever.
2025-10-01T21:10:00Z By Neil Hodge
The U.K’.s financial regulator has given a strong indication that financial firms’ use of unauthorized devices and apps is under scrutiny and that policies around off-channel communications need to be tightened up.
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