Browsing Tag
U.S. Securities and Exchange Commission (SEC)
141 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 Informal Guidance Clears Path for PEP Growth and CIT Access
New SEC staff guidance removes key regulatory hurdles, allowing pooled employer plans to scale more easily, expand access to lower-cost CIT investments, and better serve small and self-employed employers
SEC Appoints New Division of Enforcement Director
David Woodcock’s appointment comes as the SEC expects “significant course corrections” over the next year
Treasury’s Bessent: Financial Literacy ‘Fuels the American Dream’
As April ushers in Financial Literacy Month, SEC Chair Atkins encourages Americans to invest in a “risk-appropriate manner” while Charles Schwab Foundation launches new grant program
SEC Backs New FINRA $300 Limit on Gifts
The approval was filed by the SEC on Wednesday in the Federal Register
Sen. Warren Pushes SEC for Info on Crypto in 401(k) Plans
Ranking Member Warren also voiced concerns over Senate Banking Committee negotiations that would create a “tokenization loophole” for blockchain to dodge SEC authority
SEC Cautions Advisors Over Marketing Rules Compliance
The SEC said it observed violations with testimonials, endorsements, and third-party ratings
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