The DOL issued guidance on a February 2021 exemption that allows investment advice fiduciaries to receive compensation and engage in certain transactions otherwise prohibited under ERISA and the Internal Revenue Code.
News & Insights
22393 News Results
SEC Commissioner Hester M. Peirce offered an updated version of her proposal for a three-year safe harbor from the application of securities laws on the sale and trading of digital tokens.
An online debt-settlement company settled CFPB allegations that the company "steered" consumers toward high-cost loans offered by affiliated lenders and failed to disclose affiliations with creditors.
SEC Division of Corporation Finance Acting Chair John Coates and SEC Acting Chief Accountant Paul Munter highlighted potential errors in accounting for warrants issued by Special Purpose Acquisition Companies.
CFTC amendments intended to "comprehensively" update its bankruptcy regulations were published in the Federal Register.