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.

This year has brought a regulatory push to expand opportunities for ordinary investors to invest in asset classes that have been historically restricted to the wealthy and financially sophisticated.

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.

Here are five tips to Stay Motivated in Quarantine.

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.

Are the largest asset managers taking up the role of stewards?

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

Morningstar responds to the potential expansion of private investments and suggests adjustments to regulatory standards.

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.

What we told regulators about the SEC’s proposed rules.

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.