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DOL clarifies fiduciary investment duties under ERISA. SEC enhances whistleblower program. Broker-Dealer Settles FINRA charges for distributing inaccurate valuation information. Deadline for SEC, CFTC joint comment request on portfolio margining set for December 7. Comment deadline for proposed amendments to SEC mutual fund and ETF disclosure framework set for January 4. Comment deadline for banking agencies' proposed supervisory guidance rule set for January 4.
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By Cadwalader CabinetDOL clarifies fiduciary investment duties under ERISA. SEC enhances whistleblower program. Broker-Dealer Settles FINRA charges for distributing inaccurate valuation information. Deadline for SEC, CFTC joint comment request on portfolio margining set for December 7. Comment deadline for proposed amendments to SEC mutual fund and ETF disclosure framework set for January 4. Comment deadline for banking agencies' proposed supervisory guidance rule set for January 4.