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.
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
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
Top ESG Considerations for Plan Advisors: Groom Law Group
It will be essential for advisors to continue monitoring these developments