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The SEC named Jane Jarcho as the deputy director of the Office of Compliance Inspections and Examinations (OCIE).

Experts say proposed SEC regulations that would require mutual funds to have a minimum cash cushion and liquidity risk management programs in place could have a broad impact on retirement plans.

The SEC proposed Rule 610T of Regulation NMS to conduct a Transaction Fee Pilot in NMS stocks.

The no-action relief provides a path for market participants to comply with the research requirements of MiFID II in a manner that is consistent with U.S. federal securities laws.

Finally, the rules will also promote effective liquidity risk management across the open-end fund industry and will enhance disclosure regarding fund liquidity and redemption practices.

On Jan. 17, the U.S. Court of Appeals for the Second Circuit vacated the decision of the District Court for the Southern District of New York in Marblegate Asset Management, LLC v. Education Management Finance Corp., finding that Section 316(b) of the Trust Indenture Act (TIA) "prohibits only non-consensual amendments to an indenture's core payment terms."

The article discusses how director roles have changes over the last 75 years as a result of a series of SEC actions.

They are completed in the first and third quarters of the calendar year.

The U.S. Department of Treasury (the "Treasury Department") issued a report titled A Financial System That Creates Economic Opportunities (Banks and Credit Unions) on June 12, 2017...

UBS Group agreed to pay $17.5 million to settle SEC charges that two of its firms failed to disclose that a closed-end fund they advise had changed its investment strategy to include risky credit default swaps.

Virtus Investment Partners recently liquidated three of its alternative mutual funds: the Virtus Alternative Total Solution Fund; the Virtus Alternative Inflation Solution Fund; and the Virtus Alternative Income Solution Fund.

President Barack Obama's fiscal 2017 budget proposal includes a goal of doubling the SEC's funding over the next five years with the objective of protecting investors through the stronger regulation of investment advisers.

Paris counsel Pierre Storrer's article "Anti-Money Laundering: Towards a 4.1 Directive" appeared in the Nov. 2016 issue of the French publication Revue Banque.

Unstable geopolitics, increased cyber threats, a worsening climate and surging demand are putting immense pressure on physical assets and testing the traditional regulatory, financial and legal frameworks that underpin them.

U.S. Customs and Border Protection is suddenly, and without advance notice, refusing to adjudicate and process L-1 petition renewals submitted by Canadian nationals at ports-of-entry and at Canadian international airports, ...

On December 4, 2025, U.S. Citizenship and Immigration Services (USCIS) issued policy guidance shortening validity periods for certain Employment Authorization Documents (EADs).

Many of you are planning on filing Fiscal Year (FY) 2018 H-1B cap cases for recent graduates working for you on a post-degree completion Optional Practical Training (OPT) Employment Authorization Document.

We anticipate that in March 2021, U.S. Citizenship and Immigration Services (USCIS) will open the electronic registration process for the fiscal year 2022 H-1B ...