- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2015-12-11T15:45:00
The SEC has proposed rules that, once finalized, will modernize and enhance existing regulations placed on the use of derivatives by registered investment companies. The proposed rules would limit the use of derivatives by mutual funds, exchange-traded funds, closed-end funds, and business development companies. It also requires them to establish ...
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2025-05-09T20:08:00Z By Aaron Nicodemus
The Securities and Exchange Commission has offered to settle its long-running lawsuit against cryptocurrency firm Ripple Labs for $50 million, the latest in a series of pullbacks by the agency on ongoing crypto lawsuits.
2025-05-08T21:43:00Z By Aaron Nicodemus
A decision by the Securities and Exchange Commission to close an investigation into the cash sweep program at Morgan Stanley may affect decision-making at other financial institutions under similar scrutiny.
2025-04-28T21:38:00Z By Aaron Nicodemus
Whistleblowing in the United States is being buffered by uncertainty from regulators who are backing off policing corruption and consumer protections. Regulators like the Department of Justice and the Securities and Exchange Commission are being thrown into disarray by layoffs and restructuring. Still, whistleblowers will likely continue coming forward.
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