In the Margins
Comments from Securities and Exchange Commission judges have raised defendants' worries that they won't get a fair hearing from the agency's internal court system. The SEC recently has leaned more heavily on its in-house tribunal, using powers granted in the 2010 Dodd-Frank financial law to send its judges more insider-trading and other serious contested cases. Read the original story from The Wall Street Journal.
Most Read
Congress created business development companies in 1980 to support job growth and help emerging companies raise funds. As of 2023, there were 139 BDCs with $312 ...
The Vanguard board expects to add two new independent directors in early 2025 to fill seats that will be vacated when two long-serving independents retire. The ...
The bottom line: In the near term, it’s not likely that the roles and activities of mutual fund directors will change much. There will be no ...
The Securities and Exchange Commission this week said it found "deficiencies" and "weaknesses" in mutual funds' governance practices during examinations over the past four years. The ...