In this article, we’ll walk through how regulation can be one of three things for a company’s business: an opportunity; an obstacle; or a risk.

We believe that some policy ramifications of the GameStop/Robinhood uproar are likely. Here's a look at some of the possibilities and trade-offs.

The only way to make an impact on the race economic gap in the US is to understand that it is derived from several factors that comprise the gaps in status across society.

In 2020, the SEC took steps to advance both investor choice and investor protection. Now, the new SEC chair will have to determine if the former has gone too far in hindering the latter.

Fund directors may face several repercussions from the Securities and Exchange Commission’s proposal regarding fund disclosure, as evidenced by comments sent to the agency from asset managers and industry stakeholders.

The Securities and Exchange Commission is considering a major proposal that would dramatically change the disclosures that investors receive when investing in a mutual fund.

Action is necessary to mitigate the extreme inequality of economic outcomes across the board between Whites and Blacks and Whites and Hispanics. Baby bonds is one such solution.

The proposed rule comment period closed yesterday, and if the DOL is seeking to finalize ahead of the November elections, it is unlikely to make substantive changes in response to comment.

Investors should beware of the risks.

When this crisis is studied from the lens of economic history, we will learn more about the winners and losers.

Though this timeline will be a challenge for the industry, we agree with the SEC’s decision.

We expect the rule to make it harder for investors to influence management.

The SEC's regulation could give some firms a way to set themselves apart from the rest.

Should asset managers use their increasing voting power to benefit social causes?

A closer look at what we expect from compliance with the final rule.

In the original paper, the data went through 2009. We thought the period after 2009 was particularly interesting for looking
at changes to conflicts of interest. There was a lot more regulation with the enactment of Dodd- Frank. READ MORE

Large, passive asset managers should embrace active ownership to promote sustainable business models.

In 2015, the U.S. Department of Labor proposed the “fiduciary rule,” a regulation aimed at mitigating conflicts of interest in investment advice and ensuring that brokers act in the best interests of their clients. After the 5th Circuit Court of Appeals struck down the DOL’s final rule last spring, the SEC proposed a new standard of conduct similarly aimed at addressing conflicts of interest in April. READ MORE

The case for leaving index funds alone.