Browsing Tag
U.S. Securities and Exchange Commission (SEC)
116 posts
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
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'
Fund Industry Opposes ESG Truth in Labeling Regs
ICI recommended that funds—and not the SEC—determine their principal investment strategies
Bill Introduced to Block SEC’s Climate Change Reporting Regulations
It’s part of a wider effort to push back on 'the over-politicization of pensions and similar retirement plans'
WSJ Slams SEC’s Agenda, Gensler’s ‘Deeply Flawed’ Regulations
'If Republicans take control in January, they should break Mr. Gensler’s death grip on our financial system.'
Reg BI Retiree Violation: SEC Charges Firm
The agency says registered reps sold ‘$13.3 million worth of high-risk bonds to retirees and other retail investors’
SEC Proposed Rules Aim at ESG ‘Greenwashing’
The SEC said the proposed amendments would require funds and advisors to provide specific disclosures in prospectuses
SEC Extends Comment Period for Controversial Climate Proposal
While painted as being the product of investor demand, the rules are in fact quite controversial
5 Tips to Supercharge Your Annual Review Process
RIA in a Box’s Chris DiTata, Esq., shares helpful tips to remember when designing and implementing annual reviews
3 Critical Cybersecurity Issues Advisors Should Know About: NAPA 401(k) Summit
'We feel we’re all in this together'