Browsing Tag
U.S. Securities and Exchange Commission (SEC)
116 posts
Why the SEC Will Never Enact a Meaningful Fiduciary Standard
I continue to enjoy reading analyses on the SEC’s Best Interest proposal. These are analyses from industry leaders,…
SEC Issues Risk Alert on Best Execution: Drinker Biddle
The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission identified common deficiencies cited…
The DOL Fiduciary Rule is Officially Dead
After all the back-and-forth, public comments, lawsuits, time, money and resources, the Department of Labor’s fiduciary rule is…
Why 401(k) Participants Should Use Health Savings Accounts
The SEC recently released a helpful bulletin (wait, what?) to provide participants with information about health savings accounts.…
What The SEC’s Proposed Rule Means For 401k Plan Sponsors
Anyone who hoped the Securities and Exchange Commission (SEC) might do the right thing and issue a uniform…
Secretary Galvin Slams SEC Fiduciary Rule ‘Fail’
High-profile regulator and Massachusetts Secretary of Commonwealth William Galvin pulled no punches in his view of the SEC’s…
SEC Finally Proposes Fiduciary Rule Revamp
The Securities and Exchange Commission voted to propose its own widely-watched and long-awaited version of a fiduciary standard “to…
SEC Fiduciary Rule Meeting Fast Approaching
Wednesday’s the day. The Securities and Exchange Commission (SEC) will hold meetings on the “Sunshine Act,” the next…
Marcia Wagner: How to Avoid 401k ‘Share-Class Chaos’
It’s like a breaking news chyron on any cable channel, and designed (successfully) for maximum attention: “Investment Management…
Share Class ‘Amnesty’ for 401k Advisors: Marcia Wagner
Will it be A shares, B shares …C, D, E, F or G shares? If you’re confused over…