- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2018-04-13T11:00:00
After months of parsing through comment letters and collecting financial industry feedback, the SEC is ready to inject itself in the controversial effort to create a fiduciary duty regulation for broker-dealers and investment advisers. The Commission has scheduled an open meeting on Wednesday, April 18, to debate a potential rule ...
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
2018-07-25T15:00:00Z By Joe Mont
Elad Roisman, a Republican nominated as an SEC commissioner, made his pitch Tuesday for the job during a nomination hearing before the Senate Banking Committee.
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.
2025-04-09T20:52:00Z By Aaron Nicodemus
Some companies doing business in California and New York may soon be required to report the greenhouse gas emissions (GHG) of their operations to state authorities, even as the federal rule for disclosing such emissions is on life support.
Site powered by Webvision Cloud