Tag: SEC

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) launched an initiative to assess the cybersecurity of registered broker/dealers and investment advisers.

A survey of retirement plan sponsors from AARP suggests there is widespread support for holding more types of financial advice to a fiduciary standard.

The Securities and Exchange Commission (SEC) is again seeking public comment on rule amendments proposed in 2010 that would change the way target-date funds (TDFs) are marketed.

The Securities and Exchange Commission (SEC) released guidance aiming to clarify how the testimonial rule barring certain marketing practices under the Investment Advisers Act applies to social media.

The Securities and Exchange Commission (SEC) has recently made analyses related to money market fund reform available to the public.

The Securities and Exchange Commission (SEC) released the schedule for this year’s Regional Compliance Outreach Program for financial and compliance professionals working with broker/dealer firms.

The overwhelming majority of clients feel their advisers are serving their best interests and meeting fiduciary responsibilities, according to research from the Insured Retirement Institute (IRI).

CEFEX designations are gaining more widespread adoption, and some say the certification process yields valuable insights about their own firms.

The Securities and Exchange Commission (SEC) says it has launched a previously announced initiative to audit registered investment advisers (RIAs) that have never been examined.

Very few advisers have a succession plan, and it’s possible that regulation is needed to protect their clients and investors, a report says.

Financial advisers who propose alternative investments to their clients can expect increased, ongoing scrutiny from the Securities and Exchange Commission (SEC).

The Department of Labor (DOL) has reached a settlement with Western Asset Management Company, a subsidiary of Legg Mason Inc.

U.S. House members belonging to the New Democrat Coalition asked the Department of Labor (DOL) to ensure new fiduciary rules protect access to investment advice.

The Office of Compliance Inspections and Examinations (OCIE), part of the Securities and Exchange Commission (SEC), released its list of examination priorities for 2014.

Jim Poe and Associates Inc. received $637,843 from nonqualified clients, according to the Securities and Exchange Commission (SEC). 

The Securities and Exchange Commission (SEC) released twin recommendations advising Congress to align adviser and broker/dealer fiduciary standards and exact “user fees” from SEC-registered advisers.

An enhanced version of BrokerCheck by the Financial Industry Regulatory Authority (FINRA) gives investors quicker access to investment professionals’ reportable events.

Lumesis’ DIVER Advisor software, a cloud-based platform, was added to LPL Financial’s suite for advisers.

The House voted Tuesday to pass the Retail Investor Protection Act, which would delay any fiduciary updates issued by the Department of Labor (DOL) or the Securities and...