Tag: SEC

SEC and DOL Face Hurdles in Fiduciary Collaboration

When it comes to the possibility of a uniform advice standard for advisers and brokers coming from the SEC, one attorney argues “things are still very much in a wait-and-see mode,” despite increased chatter among lobbying organizations about the possibility.

SEC Provides Its Own Relief for Hurricane Victims

Joining a number of other regulatory agencies, the SEC has issued important easements and compliance relief provisions for companies and individuals impacted by three recent hurricanes striking the U.S. and its territories.