Browsing Tag
U.S. Securities and Exchange Commission (SEC)
141 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 Excluding 401(k) Assets From ‘Accredited Investor’ Rule Would Be Unjust
As bills to expand definition sit in Senate, new research argues qualified retirement assets belong in net worth calculations
Trump Signing EO Today Enabling Private 401(k) Investments
Executive order directing DOL and SEC to provide guidance to employers caps months of speculation; alternative assets including real estate and cryptocurrency also included
SEC Pulls Back 14 Proposed Rules from Prior Administration
Included among them are rules pertaining to ESG disclosures, predictive data analytics, safeguarding advisory client assets, and cybersecurity, among others
Corporate Roundup: SEC Names IM Director, CAPTRUST Brings in M&A Leader
The latest news from the SEC, CAPTRUST, OneAmerica, Transamerica, Equity Trust, and more
SEC IM Director to Step Down
SEC IM Director Natasha Vij Greiner has worked in her role since March 2024
Paper Cuts: Congress Moves to Modernize Investor Disclosures
Bipartisan backers of “Improving Disclosure for Investors Act of 2025” say e-delivery saves time, paper and money
Trump Mulls Executive Order to Allow Private Equity in 401(k)s
Report says President considering EO directing federal agencies to explore allowing private equity and other private capital investments in defined contribution plans
SEC Embracing Wider Investor Access to Private Markets
Chair Paul Atkins says SEC should not fear innovation, but champion it in remarks at SEC Speaks conference
Paul Atkins Sworn in as SEC Chair
Atkins' new position as SEC chair is said to ease regulation on digital assets
Senate Confirms Atkins as SEC Commissioner
As SEC commissioner, Atkins is expected to cut down on strict regulation for cryptocurrencies