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SEC fiduciary
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Secretary Galvin Slams SEC Fiduciary Rule ‘Fail’
High-profile regulator and Massachusetts Secretary of Commonwealth William Galvin pulled no punches in his view of the SEC’s…
SEC Fiduciary Rule Meeting Fast Approaching
Wednesday’s the day. The Securities and Exchange Commission (SEC) will hold meetings on the “Sunshine Act,” the next…
Why SEC Fiduciary Rule Reg Sounds Right
The rollback of unnecessary regulation is reaping rewards, depending of course on one’s definition of unnecessary. We’re not…
DOL Fiduciary Rule, ESG Considerations Likely DOA Under Second Trump Term
Trump Administration expected to abandon current DOL rulemaking effort; eliminate or limit fiduciaries' consideration of ESG factors when selecting plan investments
Fiduciary Duty, Reg BI Highlight SEC 2025 Exam Priorities
Fiduciary duty, standards of conduct, cybersecurity and AI among SEC Division of Examinations FY 2025 priorities released today
SEC Committee to Discuss Definition of ‘Fiduciary’ Thursday
Panel will seek to clarify who is required to serve in a client’s best interest for investors as courts keep new fiduciary rule from taking effect
Fiduciary Rule Stayed a Second Time in Texas
Stay issued on Friday means DOL’s embattled Retirement Security Rule will not take effect in September as originally scheduled while challenges play out in courts
‘Fiduciary-Grade’ Advisors More Likely to Secure Higher 401(k) Returns
Employee Fiduciary finds that advisors who incorporate "fiduciary-grade" investment advice are likelier to produce enhanced returns for clients
FACC Files Second Lawsuit Against DOL Fiduciary Rule
FACC's new lawsuit aims to halt the DOL from applying its rule until the first case is resolved
DOL Prioritizing ESG, New Fiduciary Rule and SECURE 2.0 Projects, Says Gomez
Assistant Secretary of Labor Lisa Gomez touched on the DOL’s priorities in the next year, including a potential upcoming fiduciary rule, enhanced education on ESG factors, and SECURE 2.0