Proposal would require foundations and donor-advised funds to donate 10% of their total assets to charities in each of the next three years
SEC goes too far in gathering names, addresses and birth years for new market surveillance system, group argues
The limit the Fed imposed on the bank's assets are hitting harder as corporate customers draw down credit lines amid the pandemic
The agency could do more to make e-delivery the default option for shareholder communications, while preserving shareholders’ right to request printed material
Smaller companies are pushing back, arguing the big players are just trying to cement their dominance
Zoom and telephonic hearings can be requested by parties or mandated by arbitrators
Fred Elm of Elm Tree Investment Advisers claimed he could get investors access to pre-IPO shares of tech companies
The research firm did not comply with rules designed to separate credit ratings from sales and marketing, according to the regulator
The end of the stretch provision requires that accounts be distributed within 10 years after the owner’s death
The central bank's weekly balance sheet update also showed its total assets hit a new record of $6.93 trillion
Competition is okay if it involves general categories of investments rather than specific products
Arthur Hoffman was suspended by the firm last month for outside business interests
The 401(k) plan of Aegis Media Americas is charged with not using less expensive funds
The regulator charged Sandlapper Securities in 2017 with exorbitant markups of securities
Hybrid Ambassador Advisors used 12b-1 funds instead of less costly versions
The regulator often includes the fees among its annual examination priorities, however they were not on the list this year
In-person sessions, suspended during the pandemic, allow for better presentation of evidence and arguments, they say
The Fed chairman cited the risk that the pandemic will cause the U.S. lasting economic harm
Neil Burkholz and Frank Bianco are also required to disgorge more than $860,000
The SEC charged the wirehouse with not fully disclosing fees for five years
