Tag: SEC

SEC Commissioner Stein Pushes for Investor Education

While the Securities and Exchange Commission is firmly controlled by Republican-appointed members, the last Obama-era commissioner says she hopes to find room for compromise to address the pressing issues facing U.S. investors.

With SEC’s Reporting Rule Change, Will Equity Compensation Increase?

The leader of Sullivan & Worcester's Capital Markets Group analyzes the SEC’s recent move to double the limit of equity compensation that can be awarded by private companies in any 12-month period without requiring detailed disclosures; he also urges stakeholders to respond to the SEC's open call for comment about equity compensation under Rule 701. 

In Memoriam: How the Fiduciary Rule Changed the Retirement Industry

With the news emerging that the 5th U.S. Circuit Court of Appeals has certified its ruling to vacate the DOL fiduciary rule, Scott Gehman, a retirement plan consultant with Conrad Siegel, reflects on what is already an important legacy for the short-lived set of conflict of interest reforms.