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.
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
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.'