Browsing Tag
SEC regulation
13 posts
SEC Fines 26 Firms Nearly $400 Million for Recordkeeping Failures
Fines levied for “widespread and longstanding failures” in regard to maintaining and preserving electronic communications
SEC Approves 11 Spot Bitcoin ETFs, Opening Floodgates
Gensler says action not an endorsement of the cryptocurrency, but it does bust open to doors to much greater exposure (including among retirement savers)
SEC Charges Wealth Manager Over Reg BI Violations
Laidlaw & Co. has agreed to pay more than $800,000 in part of a settlement with the SEC
SEC Amends ‘Names Rule’ to Fight Greenwashing
The SEC voted to amend a rule that would mandate investment names with sustainable themes to invest at least 80% of its asset into funds
Gary Gensler Confirmed as SEC Chair
The Senate voted 53-45 Wednesday to confirm Gary Gensler as chairman of the U.S. Securities and Exchange Commission…
Bitcoin ETF: Why is the SEC Dragging Its Feet?
As it was announced March 18 that the first North American bitcoin exchange-traded fund (ETF) has passed the…
Biden SEC Chair Nominee Gensler One Step from Confirmation
The Senate Banking, Housing, and Urban Affairs Committee voted 14-10 today to advance President Joe Biden’s nomination of…
Reg BI and DOL Fiduciary Rule: Harmonizing Two Rules that Fulfill Lower Standards
Trust law is instructional to ERISA, and the Uniform Prudent Investment Act offers a definition of prudence. Both…
Latest DOL, SEC Regulations Draw Consumer Group Ire
The Consumer Federation of America is not at all happy with goings-on at the Department of Labor or…
Iowa Proposes Harmonized Annuity Best Interest Regulation
As annuities are poised for meaningful expansion into 401k plans as a result of the SECURE Act, states…