Browsing Tag
SEC regulation
15 posts
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…
SEC Charges Retirement Plan Custodian in Connection With Ponzi Scheme
An Ohio-based self-directed IRA provider finds itself in hot water, accused by the SEC of ignoring red flags…