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No § 36(b) Standing for Fund-of-Funds Shareholders

(1)
The U.S. Court of Appeals for the Eighth Circuit has affirmed a district court ruling that a shareholder of a fund of funds lacks standing under section 36(b)
Baker, John
1
post
Jul 25

SEC Considering Fix to Loan Rule

(1)
The Securities and Exchange Commission's staff is considering recommending a regulatory fix to the auditor independence issues caused by the Loan Rule,
Baker, John
1
post
Jul 21

California Court Rules ETFs May Have To Disclose Flash Crash Risk

(1)
A California state court, in a class action case under section 11 of the Securities Act of 1933, has ruled that exchange-traded funds may be obligated to
Baker, John
1
post
May 29

Court Refuses To Apply Fiduciary Exception to Attorney-Client Privil

(1)
A U.S. Magistrate Judge in Illinois has rejected a motion by plaintiffs, in a case under section 36(b) of the Investment Company Act of 1940 for allegedly
Baker, John
1
post
May 1

DOL Fiduciary Duty Rule Delay Announced

(1)
The Department of Labor will extend its fiduciary duty rule and related prohibited transaction exemptions for 60 days, until June 9, 2017. The fiduciary duty
Baker, John
1
post
Apr 4

60-Day Delay to Fiduciary Rule Proposed, Comments Requested

(1)
The Department of Labor has proposed a 60-day delay in the applicability date of its fiduciary rule and related exemptions (i.e., to June 9, 2017) and has
Baker, John
1
post
Mar 1

Trump Orders Regulatory Reviews of DOL Rule and Financial Regulation

(1)
President Trump on Friday ordered the Secretary of Labor to examine the Department of Labor's fiduciary duty rule and, if appropriate, to propose a rescission
Baker, John
1
post
Feb 7

Trump Sets Two-for-One Standard for New Regulations

(2)
In spite of the broad language of the executive order, the White House indicates that it is not intended to apply to independent agencies. For a Reuters
Baker, John
2
posts
Jan 30

Regulatory Freeze Will Have Little Effect

(1)
President Trump's Chief of Staff, Reince Priebus, on Friday issued a memorandum to the heads of executive departments and agencies, asking them to withdraw any
Baker, John
1
post
Jan 23

Trump Nominates Jay Clayton as SEC Chairman

(1)
President-elect Trump has announced that he will nominate Jay Clayton as Chairman of the Securities and Exchange Commission. Clayton's nomination was
Baker, John
1
post
Jan 4

Supreme Court Upholds Tippee Criminal Liability

(1)
The U.S. Supreme Court, in a unanimous decision written by Justice Alito, has upheld the criminal conviction for insider trading of a man who received
Baker, John
1
post
Dec 6, 2016

Securities Regulation Questions in Wake of Election

(1)
In the wake of the election of Donald Trump as President, there are a number of unanswered questions on the future of securities regulation. Who will be the
Baker, John
1
post
Nov 10, 2016

SEC Adopts Fund Liquidity, Reporting and Swing Pricing Rules

(1)
The Securities and Exchange Commission, in three separate but related rulemakings at an open meeting on October 13, has adopted rule amendments to require
Baker, John
1
post
Oct 13, 2016

Tandy Representations No Longer Required

(1)
The staff of the Securities and Exchange Commission has announced that it will no longer request Tandy representations in filing review comment letters. A
Baker, John
1
post
Oct 5, 2016

SEC Proposes T+2 Settlement Cycle

(1)
The Securities and Exchange Commission has proposed to shorten the standard settlement cycle for most broker-dealer transactions in securities from three
Baker, John
1
post
Sep 28, 2016
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