Browsing Tag
SEC regulation
21 posts
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
Gary Gensler SEC Confirmation marks a 53-45 Senate vote, appointing him as Chairman to lead financial regulation and investor protection.
Bitcoin ETF: Why is the SEC Dragging Its Feet?
SEC Commissioner Hester Peirce says the U.S. finds itself in a “little bit of a hole” concerning approval of in-demand bitcoin ETF products.
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…
The SEC is Scrutinizing ESG Funds
ESG is one of the 10 most-searched financial terms of 2019, and people are allocating more money to…
Fee Pressure: Mutual Fund Company Oversight Increasingly Focused On Payments to Intermediaries
Boston Financial finds that more than half of the respondents (59%) to its 5th Annual Financial Intermediary Administration…