by judy.pino@ncla.legal | Apr 29, 2020 | In the News
The need for our government to set forth consistent, predictable rules has never been greater, and the Securities and Exchange Commission (SEC) is no exception. Over the last year, the SEC has used its enforcement authority, rather than its rulemaking authority, to...
by judy.pino@ncla.legal | Apr 29, 2020 | In the News
The need for our government to set forth consistent, predictable rules has never been greater, and the Securities and Exchange Commission (SEC) is no exception. Over the last year, the SEC has used its enforcement authority, rather than its rulemaking authority, to...
by judy.pino@ncla.legal | Apr 29, 2020 | In the News
Four industry groups are filing a petition today to end what they say is “backdoor regulation” by the SEC of alleged disclosure violations related to mutual fund 12b-1 fees. “Over the last year, the SEC has used its enforcement authority, rather than its rulemaking...
by judy.pino@ncla.legal | Apr 29, 2020 | In the News
The American Securities Association and three public interest organizations petitioned the SEC on Wednesday to produce a new rule related to mutual funds paying others to promote their shares. The Financial Services Institute, the Competitive Enterprise Institute and...
by judy.pino@ncla.legal | Apr 29, 2020 | Press Releases
Washington, DC (April 29, 2020) – The need for our government to set forth consistent, predictable rules has never been greater, and the Securities and Exchange Commission (SEC) is no exception. Over the last year, the SEC has used its enforcement authority, rather...
