Browsing Tag
SEC regulation
20 posts
SEC Cautions Advisors Over Marketing Rules Compliance
The SEC said it observed violations with testimonials, endorsements, and third-party ratings
SEC Releases 2026 Exam Priorities
15-page document puts emphasis on fiduciary compliance, private markets, cybersecurity, and oversight of emerging technologies; drops specific emphasis on cryptocurrency
SEC Pulls Back 14 Proposed Rules from Prior Administration
Included among them are rules pertaining to ESG disclosures, predictive data analytics, safeguarding advisory client assets, and cybersecurity, among others
Senate Confirms Atkins as SEC Commissioner
As SEC commissioner, Atkins is expected to cut down on strict regulation for cryptocurrencies
SEC Releases Updates on Marketing Rules
The agency included updates on gross, net and extracted performance with marketing rules
CITs in 403(b)s Saga Adds More Twists and Turns
While some consumer groups urge lawmakers to reject a bill that would allow collective investment trusts in 403(b) plans, advocates ramp up push for passage before year’s end
SEC Docks Invesco Advisers $17.5M for Misleading ESG Statements
Charge involves 2020-2022 claims that a high percentage of company-wide assets were ESG integrated
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