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CFTC uproots Financial Tree’s multimillion-dollar binary options Ponzi scheme
The Commodity Futures Trading Commission has brought a far-ranging enforcement action against California residents and entities, and a Colorado-based attorney, who teamed up to defraud over 90...
Require ESG disclosures for asset managers, not issuers, urges Roisman
Retail investors interested in "green" or "sustainable" funds deserve detailed information from asset managers, but issuers should not be subject to prescriptive disclosure...
SEC adopts expedited review procedure for exemptive applications under the Investment Company Act
The Commission established an expedited review procedure for routine applications for exemptions that is substantially identical to recent precedent.
DOL’s proposed fiduciary rule would bar investment advisors from making ‘materially misleading statements’
The proposal would replace the Obama-era fiduciary rule the Trump Labor Department refused to defend.