BlackRock Cooperating With SEC Probe of Investment Advisers' Communications
BlackRock Inc said it was cooperating with a U.S. Securities and Exchange Commission investigation into record keeping of electronic communications.
Recent
Deaton Says Congressional Investigation Could Bring Down SEC Chair Gary Gensler
According to attorney John E. Deaton, the United States Securities and Exchange Commission (SEC) chair Gary Gensler could be in hot water.
DOL Backs Plaintiffs in Fiduciary Breach Appeal
Labor Dept. weighed in on excessive fee case on behalf of participant-plaintiffs—asserting that district court made bad call on burden of proof.
IRS and Treasury Finalize E-Filing Rules for Businesses
The final regulations reflect changes made by the Taxpayer First Act that strengthen e-filing requirements.
Top Republicans Double Down on Efforts to Rein in SEC Gensler's Climate Proposal
Top GOP members pen letter to Gary Gensler demanding records relating to the SEC's climate change proposal.
Imprisoned Wealth Adviser Bradley Reifler Ordered to Answer SEC Questions
U.S. SEC has opened an administrative proceeding against former Dutchess County wealth adviser Bradley C. Reifler.
SEC fines the LDS Church and Ensign Peak Advisors $5M for Obscuring Investments
Church of Jesus Christ of Latter-day Saints and its investment arm have been fined $5 million for using shell companies to obscure size of portfolio.
