Browsing Tag
U.S. Securities and Exchange Commission (SEC)
118 posts
Crypto and Cybersecurity Among Top SEC Priorities for 2024
The SEC published its examination priorities for 2024 with an emphasis on cyber-resiliency, crypto assets, and emerging financial tech
SEC Amends ‘Names Rule’ to Fight Greenwashing
The SEC voted to amend a rule that would mandate investment names with sustainable themes to invest at least 80% of its asset into funds
More Americans Plan to Rely on Artificial Intelligence
A Nationwide Retirement Institute survey found a higher number of aging Americans are open to utilizing AI tools for everyday needs
GAO Asks DOL to Focus on 403(b) Plans
The report looks at improvements that Department of Labor could make in supporting ERISA and non-ERISA 403(b) plans
SEC Rule Requires Companies to Report Cyber Hacks Within 4 Days
The new rule adopted by the SEC requires all registrants to disclose nature, scope, timing and material impact of cyber hacks
Compliance Officers List SEC Marketing Rule As Top Concern Yet Again
The 2023 Investment Management Compliance Testing Survey found 70% of respondents selected advertising and marketing as the “hottest” compliance topic
IRI and ICI Voice Disapproval on Proposed SEC Custody Rule
The ICI and IRI criticized the SEC's proposed custody rule, claiming that it would impair annuity access
SEC Publishes Final Guidance on Reg BI
The latest bulletin comes after Rep. Byron Donalds accused the SEC of considering to rewrite the Reg BI in a new letter
SEC Cracks Down on Custody Rules Including Crypto
The Securities and Exchange Commission is proposing stricter custody rules on alternative investments, including cryptocurrency
Industry Leaders Denounce SEC Swing Pricing Proposal
ERIC, SPARK Institute, ICI and IRI have all issued statements against the SEC proposed mandate for open-end funds