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.
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 risk alert identifies common deficiencies relating to advisors’ compliance with their best execution obligations under the Investment Advisers Act of 1940.
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 401(k) 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’
SEC Fiduciary Rule draws sharp criticism from William Galvin, who says it fails to protect investors’ best interests effectively.
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 better serve savers and investors."
SEC Fiduciary Rule Meeting Fast Approaching
The Securities and Exchange Commission (SEC) will hold meetings on the “Sunshine Act,” the next step in developing its own version of a fiduciary standard.
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 401(k) Advisors: Marcia Wagner
Will it be A shares, B shares …C, D, E, F or G shares? If you’re confused over…