Browsing Tag
U.S. Securities and Exchange Commission (SEC)
135 posts
The U.S. Securities and Exchange Commission (SEC) is a federal agency that regulates the securities markets to protect investors, ensure fair and efficient markets, and facilitate capital formation. It oversees securities exchanges, brokers, investment advisers, and public companies, requiring them to disclose important financial information. The SEC enforces securities laws, investigates misconduct such as fraud and insider trading, and works to maintain investor confidence in the U.S. financial system.
SEC’s Uyeda Pushes for Private Markets in 401(k) Plans
The SEC Commissioner spoke in support of private investment usage in DC plans during ICI’s conference on Nov. 20
SEC Working with DOL to Develop ‘Guardrails’ for Private Equity in 401(k)s
Chairman Paul Atkins said the regulators will work to put protections in place to ensure retirement investors gain safe access to alternatives while guarding against bad outcomes
DOL, SEC Release Regulatory Agendas
The DOL's agenda includes proposals on fiduciary status when considering ESG factors while the SEC calls for clarifying the offering and selling of crypto assets
SEC Fines Vanguard, Empower for Failure to Adequately Disclose Managed Accounts Advisor Compensation
Vanguard to pay nearly $20 million and Empower nearly $6 million after Aug. 29 enforcement orders tied to firms' failure to disclose advisor conflicts of interest regarding participant enrollment
Why Excluding 401(k) Assets From ‘Accredited Investor’ Rule Would Be Unjust
As bills to expand definition sit in Senate, new research argues qualified retirement assets belong in net worth calculations
Trump Signing EO Today Enabling Private 401(k) Investments
Executive order directing DOL and SEC to provide guidance to employers caps months of speculation; alternative assets including real estate and cryptocurrency also included
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
Corporate Roundup: SEC Names IM Director, CAPTRUST Brings in M&A Leader
The latest news from the SEC, CAPTRUST, OneAmerica, Transamerica, Equity Trust, and more
SEC IM Director to Step Down
SEC IM Director Natasha Vij Greiner has worked in her role since March 2024
Paper Cuts: Congress Moves to Modernize Investor Disclosures
Bipartisan backers of “Improving Disclosure for Investors Act of 2025” say e-delivery saves time, paper and money