The SEC amended its whistleblower program with the goals of (i) providing greater transparency to whistleblowers, (ii) properly incentivizing whistleblowers and (iii) awarding whistleblowers to the "maximum extent appropriate."
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An SEC proposal that would tailor mutual fund and exchange-traded fund disclosures to the needs of retail investors was published in the Federal Register.
The DOL issued a final rule amending the "investment duties" regulation to provide that fiduciaries of ERISA plans must make investment decisions based solely on risk-adjusted economic value.
The CFTC granted exemptions to five foreign futures and options markets to allow their member firms to accept U.S. customer funds for margining futures and options contracts without registering as futures commission merchants with the CFTC.
SEC amendments to the procedural requirements and resubmission thresholds under the Securities Exchange Act rule on shareholder proposals were published in the Federal Register.