Browsing Tag
U.S. Securities and Exchange Commission (SEC)
137 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.
3 Critical Cybersecurity Issues Advisors Should Know About: NAPA 401(k) Summit
'We feel we’re all in this together'
Broker Targeted Federal Retirees with Fraudulent Annuity Rollovers
$1.7 million in commissions were earned on the sales
401(k) Market Minute: Mandatory Climate Change Reporting, Trends in Retirement Plans, and Hooray for New Jersey (Wait, What?)
The big news to start the week is the Securities and Exchange Commission’s ambitious proposal to require public…
SEC Proposes Mandatory Climate Change Reporting Rules
'82% of companies agreed that they should be afforded the flexibility to determine how ESG issues apply to them'
ESG Funds’ Lack Truth in Labeling: Study
94 funds had 'ESG' in their names yet 60 of those earned a 'D' or an 'F' on one or more ESG criteria
SEC Sets Sights on Cybersecurity for RIAs
The agency is proposing new rules and amendments to combat cyber risk in the financial services sector
Silver Scam: ‘Advisor’ Charged with Bilking Retirees Out of $68M
SEC, Commodity Futures Trading Commission and 27 state securities regulatory agencies file charges and complaints against precious metals dealer and its owner for exorbitantly priced silver coins and rendering unlawful investment advice
Cybersecurity A Major SEC Focus in 2022: Wagner Law Group
'Threat of a cyber-attack is so constant and significant for every market participant that it should be viewed as a substantial likelihood'
401k Market Minute: Auto Portability’s Big Boost, Gensler’s Grace Under Pressure, and More
Here’s what’s happening this week
SEC Races to Implement Agenda Ahead of Midterm Elections: WSJ
Republicans have already complained that the SEC is moving too fast