Governance/Regulation & Compliance

Agency considers actions such as increasing margin requirements for broker-dealers, but its hands are tied by limitations on its regulatory reach.

Tensions high after employees learn agency contracted to spend nearly half a million dollars on labor lawyers.

Tensions high after employees learn agency contracted to spend nearly half a million dollars on labor lawyers.

Many public offerings worth $20 million to $50 million will be exempt from review by state regulators; shares may eventually be tradeable on 'venture exchanges.'

Many public offerings worth $20 million to $50 million will be exempt from review by state regulators; shares may eventually be tradeable on 'venture exchanges.'

Government relief on some issues related to a variable net asset value on money funds and the prospect of a compelling yield may convince some corporate investors to stay put.