Browsing Tag
U.S. Securities and Exchange Commission (SEC)
112 posts
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
July 18, 2023
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
May 9, 2023
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
April 20, 2023
SEC Cracks Down on Custody Rules Including Crypto
The Securities and Exchange Commission is proposing stricter custody rules on alternative investments, including cryptocurrency
February 16, 2023
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
February 14, 2023
SEC Risk Alert Identifies Reg BI Compliance Issues
The SEC issued a risk alert over compliance problems it observed with broker-dealers and investment advisors who follow Reg BI
February 3, 2023
Top ESG Considerations for Plan Advisors: Groom Law Group
It will be essential for advisors to continue monitoring these developments
September 30, 2022
SEC Bars Advisor for Federal Retirement Plan Rollover Fraud
Scheme persuaded hundreds of current and former federal employees to liquidate their Thrift Savings Plan accounts for high-commission variable annuities
September 2, 2022
Mutual Funds Change Benchmarks to Hide Poor Performance: Paper
The authors found evidence that funds 'provided misleading information to investors in their SEC-mandated disclosures'
August 29, 2022
Fund Industry Opposes ESG Truth in Labeling Regs
ICI recommended that funds—and not the SEC—determine their principal investment strategies
August 16, 2022