Opponents say the DOL’s proposed rule overrides Reg BI by imposing fiduciary duty on brokers working with retirement savers. Backers say the measure fills in Reg BI’s gaps in investor protection. By ...
Brokers and investment advisors would have to remediate conflicts of interest related to interactions with investors conducted through artificial intelligence, predictive analytics and similar ...
PASADENA, Calif.--(BUSINESS WIRE)--Western Asset Mortgage Capital Corporation (NYSE: WMC) (“WMC”) today announced that WMC’s board of directors has determined in good faith, after consultation with ...
The Securities and Exchange Commission (SEC) has retracted 14 rule proposals issued in 2022 and 2023. Our Investment Funds Team examines what the SEC’s withdrawal means for investment advisers going ...
Aimfinity Investment Corp. I revises charter amendment proposal ahead of shareholder meeting, extending redemption request deadline to January 8, 2025. Aimfinity Investment Corp. I (AIMA) announced a ...
The leader of the Investment Adviser Association on March 8 pressed Securities and Exchange Commission Chair Gary Gensler on his agency's artificial intelligence conflict-of-interest proposal and the ...
University board members from schools across the country are mounting an opposition campaign to regain control over who at their schools has the authority to sign onto the Big Ten’s $2.4 billion ...
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