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.’
Tag: Regulations
Regulation
PBGC Soon to Release New Final Rule on Special Financial Assistance for Multiemployer Plans
Public commenters expressed concerns over investment restrictions, discount rate calculations.
Regulation
Legislators and Council of Institutional Investors Voice Support for SEC Cybersecurity Proposal
One commenter cautions that public reporting could unintentionally give criminals access to sensitive information.
Newsmakers
Risk Aversion Strategy Causes Colorado Pension to Lose Out on Millions
Lawmakers required the fund to keep cash in a low-interest bank account to avoid risk.
Asset Allocation
Gold and Bitcoin, Seen as Opposites, Will Become Co-Equals, Says Market Savant
To Peter Boockvar, the two seeming rivals have a lot in common, and will ‘complement’ each other in time.
Regulation
Powell or Brainard? The Next Fed Chair Makes Little Difference, Wells Fargo Says
Some see big contrasts between the Republican incumbent and his reputed rival.
Coronavirus - COVID-19
SEC Relaxes Reporting Regulations Due to Coronavirus
Investment advisers, funds, and public companies are granted 45-day extensions for certain reports.
Regulation
SEC Finalizes ‘Test-The-Waters’ Policy Expansion, Allowing Companies to Solicit Investor Interest Before IPOs
New rule removes Obama-era revenue cap of <$1 billion for companies to solicit investor feedback before going public.
Regulation
Danish Pension Group Proposes 56 ‘Concrete’ Initiatives to Ease Financial Regulations
Committee is curious about more opportunities in digital regulation.
Cryptocurrency Inquiry Introduced by UK Treasury
Inquiry will explore regulation, risks, and benefits between digital asset class and investors, government.
Barclays Settles SEC Charges for $97 Million
Investment bank to create fair fund to pay back clients.