Regulation
SEC Adopts T+1 Settlement Cycle
In addition to shortening the settlement cycle, the rules will improve the processing of institutional trades, regulator says.
Tag: Caroline Crenshaw
Regulation
SEC, CFTC Propose Reporting Changes to Keep Up With Private Fund Industry
Regulators cite rapid growth and the increased complexity of the private fund industry for need to amend confidential filing rules.
Risk
Be Wary of Single-Stock ETFs, Warn SEC Commissioner, Education Head
Recommending the new product to retail investors without breaching fiduciary duties could be ‘challenging.’
Regulation
Proposed SEC Rules Look to Shed Light on Opaque SPAC Deals
Regulator aims to protect vulnerable investors from being left holding the bag after insiders have ‘cashed out.’