Commentary by Steven Lofchie
SEC Commissioner Hester M. Peirce urged the SEC to scrutinize and potentially eliminate costly regulations that hinder mutual funds' ability to generate returns and thus negatively impact investors.
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22403 News Results
Commentary by Steven Lofchie
An introducing broker agreed to pay a $10,000 fine to settle NFA charges of failing to maintain adequate levels of adjusted net capital.
The FTC Bureau of Competition urged companies engaged in pre-merger negotiation and the due diligence process to protect competitively sensitive information through established protocols.
The Consumer Financial Protection Bureau's Request for Information on possible changes to regulations adopted by the bureau post-Dodd Frank was published in the Federal Register.
The Consumer Financial Protection Bureau and the Federal Trade Commission highlighted efforts to stop improper debt collection practices.