Tag: SEC

FINRA highlights the success of its recent compliance efforts in a new report, while signaling the beginning of a process to modernize and update its membership application process. 

We’ve rounded up some of the reports and opinions—pro and con—about the fiduciary rule as it nears final approval.

Following a sit-down with one SEC commissioner, CEFEX leadership predicts the regulator will propose new requirements for third-party advisory practice reviews before the close of 2016. 

They haven’t received quite the same number of comments as the DOL’s pending fiduciary regulations, but proposed liquidity rules from the SEC have clearly grabbed the investment and...

A former State Street SVP and State Street Bank have consented to the SEC’s orders without admitting or denying guilt.

Each January the Securities and Exchange Commission signals its enforcement priorities for the coming 12 months—this year highlighting the importance of adviser transparency, cybersecurity and liquidity issues, among...

John Hollyer with Vanguard sees the SEC’s new efforts having a minimal effect on retirement plan investors.

Retirement specialist financial advisers face a constant stream of regulatory and market change—especially regarding defined contribution plan investment menus.

The SEC this week voted to propose rules to enhance operational transparency and regulatory oversight of alternative trading systems—and the activities of brokers using them. 

A white paper outlines some of the critical cybersecurity points to prepare for the SEC’s Risk Alert.

Completely insulating a business from cybersecurity risk is probably a pipedream in the modern world, but retirement plan advisers will be on the hook if, or when, a...

The SEC approved a proposal from FINRA to amend FINRA Rule 2210, such that a hyperlink to FINRA BrokerCheck must be prominently displayed on all brokers’ websites. 

Many SEC actions will impact retirement plan advisers.

Nearly all American investors agree financial advisers should be required to proactively disclose conflicts of interest, actual or potential, to would-be clients.