With increasing demand for liquidity solutions, Goodwin has published a resource on reasons why fund managers are turning towards NAV financing and preferred equity tools.

The U.S. House Committee on Financial Services Democratic Caucus named Representative Brad Sherman (D-CA) as Chair of the Subcommittee on Investor Protection, Entrepreneurship and Capital Markets.

The U.S. House Committee on Financial Services elected Representative Michael San Nicolas (D-GU) as Vice Chair. Mr. San Nicolas ...

The NFA Business Conduct Committee charged a registered independent introducing broker with failing to (i) maintain the required minimum adjusted net capital, (ii) file telegraphic notice...

Women in Fund Finance U.S. is hosting a virtual panel on "Navigating ESG Communications: Strategies for Challenging Times" this Tuesday, February 28 at 11 a.m. EST.

ISDA updated its global calendar of compliance deadlines and regulatory dates for OTC derivatives.

KBRA has come out with a recent forecast predicting that the private credit industry will be well positioned to navigate looming macroeconomic headwinds on the horizon.

The Managed Funds Association ("MFA") hired Mark Epley to serve as executive vice president and general counsel.

In addition, the automated alerts system was updated to include additional information about relevant bond and associated trade activity or filing that can trigger an alert.

Each course provides real-world simulations that help financial professionals and members of the public understand municipal securities transactions, as well as related market and regulatory considerations.

The MSRB named Simon Wu as its Chief Economist. Mr. Wu will assume his new role starting on February 6, 2017.

Scott Aleali and Jeff Maier hosted former Wake Forest and Charlotte Hornets star Muggsy Bogues this week on Fund Fanatics for a wide-ranging conversation, including his NBA career...

The SEC named Robert Evans III as Deputy Director of its Division of Corporation Finance. Mr. Evans will be a senior advisor to Division Director William Hinman.

Scott Aleali and Jeff Maier released a new edition of Fund Fanatics that covers the latest trends in the secondaries market and features Sameer Shamsi, Head of Secondaries at Houlihan Lokey.

Financial Services Group Executive Vice President Roseanne Stichnoth announced that she will retire in August of 2016.

The NFA appointed Carol Wooding Vice President, General Counsel and Secretary.

The National Futures Association ("NFA") Business Conduct Committee charged a commodity trading advisor with providing materially false and misleading disclosure documents to customers...

NFA permanently banned from membership a CPO and CTA for failing to produce books and records for two of the CPO/CTA's principals and its majority owner

The NFA announced that starting with its election of Board of Directors members in 2017, NFA will replace current paper ballots with an electronic voting system.

The Federal Reserve Bank ("FRB") of New York Executive Vice President Richard Dzina discussed the current state of cyber resilience and operational security ...