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SEC to review money market funds for compliance in 2017

Published 9y ago

The headquarters of the U.S. Securities and Exchange Commission (SEC) are seen in Washington, July 6, 2009. REUTERS/Jim Bourg Money market mutual fund operators can expect a visit this year from federal securities regulators, who announced on Thursday they pla... More »

SEC to scale back broker exams to focus more on advisers: sources

Published 10y ago

WASHINGTON U.S. securities regulators plan to scale back examinations of brokers so they can shift resources to improve oversight of investment advisers, which have traditionally faced less scrutiny, several people familiar with the matter said on Friday. The ... More »

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