Investors will be required to report in five days rather than ten days if they beneficially own more than 5 percent of a stock.
October 11, 2023The new rules will help ensure that a fund’s portfolio aligns with a fund’s name and help to better protect investors, said SEC chair Gary Gensler.
September 21, 2023Policy experts from CFA Institute discuss key regulatory and technology trends that will impact how investment advice is delivered.
September 5, 2023The US SEC is seeking to reform Internet adviser registration rules, proposing stricter requirements for digital investment platforms.
July 31, 2023SEC proposes new rules to address conflicts in broker-dealers' and investment advisers' use of predictive analytics and AI.
July 31, 2023Gary Gensler said the SEC will consider “appropriate” adjustments to its proposed climate risk disclosure framework.
July 29, 2023SEC chairman Gary Gensler said AI could heighten financial fragility and promote herding behaviour among investors.
July 19, 2023SIFMA says the SEC's attempt to bring DeFi systems into scope could potentially subject other non-DeFi broker-dealer systems to unnecessary regulation.
June 19, 2023Ten US states separately accused Coinbase of securities law violations. CEO Brian Armstrong said the SEC lawsuit will help establish clarity around crypto rules.
June 7, 2023The bill would create a new category of regulated entities under the CFTC called digital commodity exchanges.
June 7, 2023