Regulation

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  1. F-Squared Investments settles with SEC over false advertising

    trueF-Squared Investments will pay $35 million and admit wrongdoing to settle SEC charges of defrauding investors with false performance advertising of its flagship strategy, “AlphaSector,” an active ETF strategy.

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  1. Banks get two more years to divest private equity, hedge funds under Volcker rule

    trueBanks will have two more years to divest themselves of private equity and hedge funds to comply with a Dodd-Frank Wall Street Reform and Consumer Protection Act provision known as the Volcker rule.

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  2. FSOC designates MetLife as 'systemically important'

    trueMetLife Inc. was designated a non-bank systemically important financial institution by the Financial Stability Oversight Council on Thursday.

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  3. More safeguards coming for money managers in 2015, SEC chairwoman says

    trueThe SEC will spend 2015 taking a closer look at risks in the money management industry, Chairwoman Mary Jo White said Thursday at an investor conference in New York.

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  4. DOL asked to back off brokerage rules

    trueDefined contribution industry representatives are resuming efforts to convince Labor Department officials that more extensive regulation of self-directed brokerage accounts is unnecessary and burdensome.

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  5. Managers shifting to new reality of fixed income

    trueThe fixed-income trading desks of larger money managers are setting prices of trades instead of discovering them while applying the electronic trading skills of their equity brethren to adapt to the changing nature of the secondary bond markets at a time of lower liquidity.

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  6. Firms prepare for money market changes

    trueManagers such as BlackRock Inc., Vanguard Group Inc., J.P. Morgan Asset Management, Goldman Sachs Asset Management and RBC Global Asset Management Inc. are retooling their cash management businesses in advance of changing regulations on net asset value for institutional prime money market funds.

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  7. DOL fiduciary rule proposal on track for January

    trueThe Department of Labor will propose a new fiduciary rule in January 2015, said an updated regulatory agenda issued by the Office of Management and Budget.

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  8. PBGC to finalize rollover rule

    trueParticipants in defined contribution plans can combine those assets with their defined benefit plans without exceeding federal guarantee limits set by the Pension Benefit Guaranty Corp., under a rule to be finalized Tuesday.

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  9. EU threat of soft-dollar ban still alive, raising questions for managers

    trueThe possibility of European regulations banning the use of soft dollars for third-party research is alive and well, despite talk in the U.K. and Europe that regulators would settle for something that falls short of a ban.

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  10. Fiduciary concerns, complexities with the SEC's pay-to-play rule

    trueThe Securities and Exchange Commission's recent announcement of its first enforcement action under the “pay-to-play” rule it adopted in 2010 demands the attention of those responsible for governmental retirement plans to understand the regulation and its implications in order to secure the maximum ...

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  11. GAO: Room for improvement in FSOC process

    trueThe Financial Stability Oversight Council process for designating systemically important non-bank financial institutions, or SIFIs, could have more accountability and transparency, said a report issued Thursday by the Government Accountability Office.

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  12. SEC to require backup operational plans for large-volume trading venues

    trueThe SEC on Wednesday approved requiring large-volume equity exchanges, alternative trading systems and dark pools to submit to the agency backup operational plans in case those venues' technological systems break down.

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  13. FSOC process necessary, Dodd says

    trueThe Financial Stability Oversight Council's mission to identify systemically important non-bank financial institutions is necessary, former Sen. Christopher J. Dodd said Tuesday at an event marking the fourth anniversary of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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