The new compliance support programming is free for advisers and seeks to “shed light on opacity surrounding financial regulations."
The SEC’s enforcement action comes at a time when the agency has been focusing more specifically on brokers’ and advisers’ interactions with senior investors.
The head of retirement and investment solutions at Pershing discusses the impact that uncertainty around the fiduciary rule is having on firms and clients throughout the DC plan industry.
During a hearing, Acosta claimed that previously the SEC did not work jointly with the DOL on the rule.
The SEC chair issued only a brief statement on his intention to work with DOL officials on reforming conflict of interest regulations—but his language is revealing.
Passage of the CHOICE Act by the House Financial Services Committee could signal a further blow to conflict of interest regulations adopted by the Obama administration.
As a new leader takes the helm at the SEC, advisers wonder whether the regulator’s recent focus on retirement industry conflicts of interest will be relaxed.
Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed.
The Securities and Exchange Commission has approved FINRA's rule proposal addressing financial exploitation of seniors.
The Insured Retirement Institute will spend the year pushing Congress and the Administration to advocate for legislation that would expand Americans’ access to advice and simpler annuities.
Whoever takes on the role of DOL Secretary will be tasked with overseeing the Trump administration’s response to the forthcoming fiduciary rule reforms.
A new publication from the SEC outlines the five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers.
Among the topline priorities for the Securities and Exchange Commission’s examination staff during 2017 will be “the services provided by public pension advisers” and an “expanding focus on senior investors and individuals investing for retirement.”
Since the DOL conflict of interest rule’s publication, mutual fund providers and their adviser-intermediaries have also been asking the SEC extensive questions about sales loads, fee schedules, etc.
Robo-advisers gained some traction in the DC industry this year, and many have come to see how the technology could work with, rather than against, traditional advisers.
Mary Jo White, who became the 31st Chair of the SEC in April 2013, will be one of the SEC’s longest serving Chairs.
Retirement plan sponsors clients may see some effects from the new rules.
The SEC recently weighed in on whether offering a brokerage window in a 401(k) through which investments in employer securities can be made involves an offer of employer securities requiring Securities Act registration.
A look at the latest legislative, regulatory and judicial developments
The decisions are being made due to SEC money market fund reform.