Tag: SEC

A Conversation with the SEC at PANC 2022

Experienced retirement plan advisers know the Securities and Exchange Commission is a critical regulator for their industry. In September, we’ll sit down with the SEC for a discussion about the Commission's many concurrent priorities.

An SEC Update: Marketing Rule Implementation and Reg BI Enforcement

One expert attorney says the SEC’s recent charges against a brokerage firm demonstrate the potency of Regulation Best Interest’s ‘compliance obligation,’ and he warns that registered advisers must prepare now for active enforcement of the newly updated marketing rules.

An Update on the SEC’s Private Fund Rule

While the proposed private fund transparency rules don’t address the work of financial advisers as directly as some other outstanding proposals, they have the potential to shake up a growing sector of the financial markets.

Legislative and Judicial Actions

AGI U.S. settles in fraulent scheme suit, then exits the country; the IRS re-extends relief from the physical presence requirement; the SEC plans to adjust its ESG and ‘Names Rule’ regulations; and more.

SEC Enforcement Approach Imperiled by 5th Circuit

While the ultimate outcome may be settled by the Supreme Court, the 5th Circuit’s ruling in Jarkesy v. SEC could have major ramifications for the regulator and its approach to punitive enforcement under the Dodd-Frank Act.