Amy R. Doberman

CFTC Proposes Amendments To CPO, CTA Regulations

Broker-Dealers And Advisers Beware: The SEC's "PDA" Proposal Could Upend Firms' Interactions With Customers, Clients And Investors

Supporting Our Veterans (Podcast)

ESG Asset Managers And Investment Funds—Near Term SEC Enforcement Risk

SEC Proposes To Modernize Fund Communications

SEC Proposes New Framework For Fund Valuation Practices

COVID-19: SEC Grants Temporary Relief To Mutual Funds From Borrowing And Lending Restrictions

The Countdown Is On! Building A Reg BI Compliance Program As Deadlines Loom

SEC's Final Rules And Guidance On The Standards Of Conduct For Broker-Dealers And Investment Advisers

Exchange-Traded Funds: Proposed Rule 6c-11