Browsing Tag
U.S. Securities and Exchange Commission (SEC)
136 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.
Fred Knows 401(k) Fiduciary
401(k) fiduciary mistakes by sponsors and committees create risks. Learn common errors and how advisors can prevent costly issues.
The NeverEnding Story—Reg BI and the Latest Fiduciary Folly
Progress on the fiduciary rule has often looked like two steps forward, one step back (or vice versa).…
‘Good, Bad and Ugly’ of Current Regulatory Regime: 2019 Fi360 Conference
Attendees, numbering over 800, appeared to be ready for business. Celebrating it’s 15th such conference, it also Fi360’s 20th anniversary.
Fiduciary Advocates Rip Reg BI in Congressional Testimony
Fiduciary proponents gathered in Washington before the House Subcommittee to vent their views and decry the death of the DOL's Conflict of Interest Rule.
Fred Reish: More on What ‘Best Interest’ Really Means (In the Real World)
In my last two posts (Bests No. 9and No. 10), I discussed the definition of the Best Interest standard…
Fred Reish: What Does Best Interest Mean . . . In the Real World?
Previously, I’ve discussed different definitions of a “best interest” standard of care. The point is that, while there…
Fred Reish: What Does ‘Best Interest’ Really Mean?
“Best Interest” has become part of the American lexicon …as an aspirational goal or a demanding standard—depending on…
Fred Reish: SEC Best Interests . . . When? And What About the DOL
The Regulatory Agendas for the U.S. Securities and Exchange Commission (SEC) and Department of Labor (DOL) were recently issued.…
Can States Enact Their Own Fiduciary Rules?
Who will fill the vacuum left by the demise of the Fiduciary Rule? Industry professionals and practitioners have…
DOL to Introduce New Fiduciary Rule
DOL fiduciary rule faces revival in 2019 as the Department considers new regulations after court vacated the prior definition.