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SEC proposal requiring dealer registration would increase capital requirements and scrutiny
Digital asset manager challenges rejection of application to convert $40bn trust into exchange traded fund
SEC alleges ‘breaches of trust’ involving dozens of employees at Big Four audit firm
Paranoia over unapproved messaging will only create more problems for regulators.
Gary Gensler seeks to share information with derivatives agency to better regulate digital assets
The growing importance and influence of financial indices cannot be denied
Financial regulators clamp down on companies misleading investors by overstating the greenness of their funds
Regulator’s proposal would force companies to disclose carbon emissions and climate change risks for the first time
Plus, the comment period on the SEC’s big climate proposal comes to an end
S&P Global and MSCI could be reclassified as investment advisers by US regulator
Plus, ‘ecocide’ prevention comes for banks and pension funds
Names Rule amendments could have a particular impact on thematic ETFs, analysts say
SEC slams ‘egregious’ allocations of customer money that extracted ‘hidden costs’
AFL-CIO says they do not support activist investors opposed to post-Archegos transparency drive
US regulator has been putting more focus on potential ‘greenwashing’ in finance
Do Kwon told to submit information on digital token trading network
It is time for regulators to get creative and use their current powers to act
The SEC chair has unveiled a pretty punchy overhaul for the US equity market. Where will it bite?
Gary Gensler’s plan to ‘do better for retail investors’ draws fire from brokers and trading firms
The commission chair plans an auction system that will force brokers to improve prices for end clients
Regulators are asking whether retail investors are better off when brokers ‘sell on’ their trades to wholesalers, for a fee
Proposals include new auctions to decide which trading groups handle retail investors’ orders
What fresh hell is this
Revisions to corporate financial reports rose 289% in 2021, with increase led by Spacs
Pending rules come as funds repackage themselves for the $3tn ‘sustainable’ market
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