Firms use forced arbitration to discourage clients from pursuing complaints
Firms were allowed to collect trailers before the CSA ban, court rules
SRO consults on options for resolving long-standing regulatory disparity
First phase of reforms to take effect Sept. 28
Regulators seek to codify initial investment restrictions, custody provisions
Self-regulatory organization proposes new settlement obligation and expanded guidance
Move aims to reduce the burden of printing and mailing disclosures to investors
New proxy voting policy in effect for 2024 annual meetings
U.S. fund industry calls for global move to shorter settlement cycle
CSA publishes systemic risk survey summary