Tag: SEC

They haven’t received quite the same number of comments as the DOL’s pending fiduciary regulations, but proposed liquidity rules from the SEC have clearly grabbed the investment and...

A former State Street SVP and State Street Bank have consented to the SEC’s orders without admitting or denying guilt.

Each January the Securities and Exchange Commission signals its enforcement priorities for the coming 12 months—this year highlighting the importance of adviser transparency, cybersecurity and liquidity issues, among...

John Hollyer with Vanguard sees the SEC’s new efforts having a minimal effect on retirement plan investors.

Retirement specialist financial advisers face a constant stream of regulatory and market change—especially regarding defined contribution plan investment menus.

The SEC this week voted to propose rules to enhance operational transparency and regulatory oversight of alternative trading systems—and the activities of brokers using them. 

A white paper outlines some of the critical cybersecurity points to prepare for the SEC’s Risk Alert.

Completely insulating a business from cybersecurity risk is probably a pipedream in the modern world, but retirement plan advisers will be on the hook if, or when, a...

The SEC approved a proposal from FINRA to amend FINRA Rule 2210, such that a hyperlink to FINRA BrokerCheck must be prominently displayed on all brokers’ websites. 

Many SEC actions will impact retirement plan advisers.

Nearly all American investors agree financial advisers should be required to proactively disclose conflicts of interest, actual or potential, to would-be clients. 

The amount of cyber risk exposure in the financial services industry can be downright frightening to think about, but details of a recent settlement reached between the SEC...

A survey of institutional asset managers highlights persistent uncertainty and lack of preparedness around pending SEC money market reforms.

Retirement plans will not necessarily have to divest from retail money market funds under SEC’s pending reforms, but plan sponsors and advisers may decide it's best.

Focus on DOL’s fiduciary rulemaking is understandable—but there are other major regulatory changes in the works that will directly impact retirement plans.

Transcripts from a tough SEC hearing called earlier this month show it's not just the Department of Labor considering changes to the application of the fiduciary standard.

SEC staff intends to revamp focus on registered investment advisers and broker/dealers selling investment products to retail investors and retirement savers.

Sponsored dinners with Ponzi operators and fees charged to the account-holders even after fraud charges were announced are among the allegations against Equity Trust Company.

A Miami investment adviser allegedly used a Ponzi scheme to siphon his investors’ retirement assets.