Capitol News

Legislative and Judicial Actions

An adviser eye on Washington

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Compliance

May 13th, 2025

In Letter, Lawmakers Ask SEC to Delist Chinese Stocks From US Exchanges

The May 2 letter to the SEC followed recent concerns expressed by lawmakers over U.S. investments in China, including two...

Compliance

May 12th, 2025

SEC Guidance Clarifies Insider Trading Rules for 401(k) Brokerage Windows

The Securities and Exchange Commission clarified what applies when a 401(k) plan participant subject to insider trading rules sells company...

Compliance

May 9th, 2025

Forfeitures Class Action Against Kaiser Foundation Dismissed

A federal judge in the Central District of California dismissed the claim that the plan sponsor’s use of forfeited assets...

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Proprietary Fund Usage

Highlights of BrightScope’s proprietary research

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Data & Research

December 5th, 2024

Retail Investing AUM Will Likely Slow in Next 5 Years, But Sales Will Rebound

A forecast from ISS Market Intelligence shows overall retail investment assets down in the next five years, but with product...

Data & Research

September 20th, 2024

US Retirement Assets Hit Record $40T

Asset growth is led by an increase in holdings in IRAs and 401(k) plans.

Compliance

September 3rd, 2024

Raymond James Fined Over Mutual Fund Monitoring

FINRA fined two of the firm’s subsidiaries a total of $1.8 million for allegations of failing to properly review mutual...