SEC goes too far in gathering names, addresses and birth years for new market surveillance system, group argues
Zoom and telephonic hearings can be requested by parties or mandated by arbitrators
Competition is okay if it involves general categories of investments rather than specific products
The regulator often includes the fees among its annual examination priorities, however they were not on the list this year
In-person sessions, suspended during the pandemic, allow for better presentation of evidence and arguments, they say
An update on the regulator's website says more time needed for system testing
Broker self-regulator says it will not increase regulatory fees for member firms this year
The 2nd U.S. Circuit Court of Appeals agreed to an expedited oral argument in early June
Two dominant sponsors of donor-advised funds say the crisis illustrates the vehicle’s value
Mediators will work remotely for $100 an hour; so far, 85 agree to participate
