The SEC adopted a regulatory framework for fund valuation practices which clarifies how a fund's Board of Directors can satisfy obligations concerning fair value determination.
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22393 News Results
SIFMA recommended "minor enhancements" to the SEC's proposed amendments to the National Market System Plan governing the Consolidated Audit Trail.
A broker-dealer settled FINRA charges for failing to conduct sufficient annual independent testing of its anti-money laundering compliance program three times over the course of a five-year period.
At an Asset Management Advisory Committee meeting, SEC officials considered a subcommittee's proposed recommendations on environmental, social, and governance disclosure.
The New York State Investor Protection Bureau finalized two rules that will modernize registration and filing requirements by transitioning filings and payments to standardized national systems.