The U.S. Department of the Treasury (Treasury) recently released a report examining the regulatory framework for the asset management and insurance industries (Report). The Report is the third in a series of four reports that...more
12/5/2017
/ Asset Management ,
CFTC ,
Department of Labor (DOL) ,
Derivatives ,
Dodd-Frank ,
Employee Retirement Income Security Act (ERISA) ,
Exchange-Traded Products ,
Federal Reserve ,
Fiduciary Rule ,
Financial Stability Board ,
FSOC ,
Insurance Industry ,
Investment Advisers Act of 1940 ,
Liquidity Risk Management Rule ,
Proposed Legislation ,
Proposed Regulation ,
Regulatory Burden ,
Retirement Plan ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
SIFIs ,
Stress Tests ,
Systemic Risk Buffer ,
U.S. Treasury ,
Volcker Rule
The Securities and Exchange Commission (Commission) on December 11, 2015 proposed new Rule 18f-4 (Proposed Rule) under the Investment Company Act of 1940 (1940 Act) and amendments to certain proposed forms. The proposal...more
At an open meeting of the U.S. Securities and Exchange Commission (SEC) today, the SEC by a three-to-one vote approved the proposal (Proposal) of new Rule 18f-4 under the Investment Company Act of 1940 (1940 Act) and...more