Tag: Securities and Exchange Commission

The rules adopted by the SEC update requirements for mutual fund and ETF shareholder reports and promote transparent fee and...

The SEC’s new marketing rule is set to take effect on November 4, and the agency’s Division of Examinations says...

The enforcement of Regulation Best Interest is currently one of the major projects at the Securities and Exchange Commission.

Regulators cite the increased complexity of the private fund industry and rapid growth for need to amend confidential filing rules.

Case focused on misstatements and omissions regarding ESG offerings.

The suggested amendments to the agency’s current rules address redemption costs and liquidity.

The rule would require the reporting of certain material terms of those loans to a registered national securities association, which would then make information available to the public.

All firms involved have agreed to settle the allegations that they missed regulatory deadlines for the customer relationship summaries.

The agency will address criticism that the changes make advisers’ roles in proxy voting more cumbersome.

The Great-West Life affiliate was accused of violating the federal securities laws governing the filing of Suspicious Activity Reports.

A new webpage brings together all the agency’s actions and information as a response to increased investor demand for climate and ESG investing.

The office is also calling on the SEC to establish an ESG framework.

Reg BI, a new fiduciary rule proposal from the DOL and state-enacted fiduciary rules—what advisers should keep in mind.

The firm was also charged with mutual fund share class violations.

The rule blurs the line between advice and sales, potentially hurting both advisers and investors, he says.

The self-regulatory organization says it will help members implement the SEC's sweeping new conflict of interest disclosure rules.