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SEC Proposes Standardized ESG Disclosure for Funds and Advisers

USA - June 29 2022 On May 25, the Securities and Exchange Commission (SEC) proposed amendments to rules and forms under the Investment Company Act of 1940 and the…

Tashia Love, Michael V. Wible

SEC Proposes Amendments to Money Market Fund Rules

USA - January 10 2022 On December 15, 2021, the Securities and Exchange Commission (SEC) proposed amendments to Rule 2a-7 under the Investment Company Act of 1940, as…

Krisztina Nadasdy

FINRA Raises Stakes in 2022 for Firms Tolerating Bad Brokerage Disciplinary Histories

USA - January 5 2022 In the 2000 movie Boiler Room, actor Ben Affleck’s brokerage firm manager character chastises his broker trainees for failing to get customers to buy…

Marc B. Minor

SEC Proposes Enhanced Proxy Voting Disclosures

USA - October 25 2021 On September 29, the Securities and Exchange Commission (SEC) proposed amendments to Form N-PX to enhance annual proxy vote reporting of mutual funds…

Krisztina Nadasdy, Philip B. Sineneng

SEC Division of Investment Management Releases Statement on Bitcoin Futures and Registered Funds

USA - May 14 2021 On May 12, the SEC Division of Investment Management staff (IM staff) issued a statement regarding registered funds’ investments in Bitcoin futures…