SEC Climate Disclosure Rules Find Republican Opposition in Both Houses
An SEC proposal to require certain disclosures related to climate change and carbon emissions is facing Republican opposition in the...
Tag: SEC
Advisers Should Comment, Prepare Vendor List Ahead of SEC Outsourcing Rule
Investment and retirement advisers—especially smaller shops—should take the time remaining to provide their feedback about the SEC’s proposed outsourcing rule,...
What Do the Mid-Terms Mean for ESG and SECURE 2.0?
ESG-minded investors have cause for concern, as Republicans prepare to take control of the House.
S&P Global Settles Mortgage-backed Security Case with SEC
Ratings agency agrees to $2.5 million fine over charges its sales and marketing team influenced analytics.
SEC Collects Record $6.44B On 760 Enforcement Actions in Fiscal 2022
The regulator raked in close to $4.2 billion in civil penalties, nearly three times the $1.46 billion collected the previous...
Applications and Implementation of The New Marketing Rule
Various leaders within the SEC discussed in a public seminar today some of the interpretations and applications of the new...
SEC Proposes Controversial Rule on Swing Pricing and Liquidity
The SEC proposed a new rule Wednesday that would require all open-ended funds, except money market funds and exchange-traded funds,...
SEC’s Proposed Outsourcing Rule Could Be Hardest on Small Advisers
The new rules, if approved, would likely require more catch-up by smaller firms to vet third-party providers, says a legal...
SEC Marketing Rule to be Enforced Next Week
Compliance for a new rule aimed at preventing investment advisers from misleading clients goes into effect November 4, next Friday.
SEC Finalizes Rule Requiring Recovery of Improper Executive Incentive Pay
The new rule requires securities firms to recover incentive pay if it was premised on an accounting error.
A Republican Capture of Either House Could Lead to Headaches for ESG
Republican leadership is bad news for “woke capital” says Washington Policy Strategist at Stifel.
SEC Proposal Calls for Vetting of Outsourced Services by Advisers
The SEC says the new rule proposals are responding to the growing trend in use of third-party vendors by financial...
The SEC Adopts Rules on Shareholder Reporting, Fund Advertisements
The rules adopted by the SEC update requirements for mutual fund and ETF shareholder reports and promote transparent fee and...
Compliance News
Legislative and Judicial Actions
The DOL updates auditor independence rules; the IRS extends plans’ amendment deadlines for certain CARES Act and Tax Relief Act...
PANC
2022 PLANADVISER National Conference
Challenges plan advisers face when developing business strategies—and how to resolve them.
SEC Charges 16 Firms With Failing to Preserve Electronic Communications
The firms have admitted to the wrongdoing and will pay penalties of more than $1.1 billion.
SEC Risk Alert Addresses Marketing Rule Compliance Examinations
The SEC’s new marketing rule is set to take effect on November 4, and the agency’s Division of Examinations says...
Hearsay Aims to Help Advisers Ensure Compliance With Marketing Rule
Hearsay says its new digital client is designed to assist advisers and firms in adhering to new SEC marketing regulations.
A Guide to the SEC’s Reg BI Bulletins
In a recent bulletin, the SEC warns that practically all financial professionals have at least some conflicts of interest with...
SEC Flexes Regulatory Muscle with RIAs, Brokers in Focus
The SEC is warning advisers and broker/dealers that it is time to tighten up policies around conflicts of interest and...