SEC’s Only Democratic Commissioner Leaves Agency
Caroline Crenshaw’s departure leaves the Securities and Exchange Commission with three Republican appointees, all of whom are known for deregulatory...
Tag: Securities and Exchange Commission
House Committee Advances Bipartisan ‘INVEST’ Act
The 64-page bill proposes a new certification exam for ‘accredited investors’ and would allow 403(b) plans to invest in the...
ERISA Lawsuits Spark Partisan House Committee Debate
House Republicans’ remarks on ‘predatory’ prohibited transaction claims came shortly after SEC Chairman Paul Atkins pushed for deregulation at the...
SEC Commissioner Uyeda Blasts ‘Paternalistic’ Protection of 401(k) Investors
In recent remarks, Uyeda said policymakers needed to ‘provide guardrails, not gates’ for private equity, private credit and other nonpublic...
Dimensional’s ETF Share Classes Get Official SEC Approval
The U.S. government shutdown delayed the official approval, but now Dimensional can manage both exchange-traded fund classes and mutual fund...
SEC to Focus on Protections for Retirement Investors, Products
The Securities and Exchange Commission’s Fiscal Year 2026 Examination Priorities, released on Tuesday, signals heightened scrutiny across investment advisers, funds...
Investor Coalition Says SEC Support for Forced Arbitration ‘Threatens’ Markets
More than 60 institutional investors managing a combined $8 trillion sent a letter claiming the Securities and Exchange Commission’s decision...
SEC Pushes Back Deadline for Private Investment Funds’ Disclosures
Private funds and advisers now have until October 2026 before they must provide enhanced confidential disclosures about portfolio investments and...
Margaret Ryan to Join SEC as Director of Enforcement Division
She is currently a senior judge of the U.S. Armed Forces Court of Appeals; she will join the SEC September...
What Can the SEC Do With AI?
The Securities and Exchange Commission’s AI task force could provide the agency a ‘technology augmentation,’ according to a former SEC...
SEC Creates AI Task Force
Securities and Exchange Commission veteran Valerie Szczepanik was named its chief artificial intelligence officer to lead the agency-wide effort.
Federal Bill Pushes for AI ‘Experiments’ at SEC
A congressional bill introduced last week would allow financial regulatory agencies to experiment with artificial intelligence without the ‘expectation of...
SEC to Evaluate Use of PE and Alternatives in Retirement Accounts
The SEC's Office of the Investor Advocate as previously highlighted potential risks for retail savers posed by the expansion of...
Citing Strategic Shift, SEC Withdraws 14 Biden-Era Proposals
According to the notice, the proposals cover areas such as cybersecurity, ESG disclosures and shareholder rights.
SEC’s Director of Investment Management to Step Down
Natasha Vij Greiner, who has led the division since March 2024, leaves after more than 23 years at the SEC.
In Letter, Lawmakers Ask SEC to Delist Chinese Stocks From US Exchanges
The May 2 letter to the SEC followed recent concerns expressed by lawmakers over U.S. investments in China, including two...
SEC Guidance Clarifies Insider Trading Rules for 401(k) Brokerage Windows
The Securities and Exchange Commission clarified what applies when a 401(k) plan participant subject to insider trading rules sells company...
Industry Anticipates SEC Approval of Dual Share Class ETF Offerings
The Securities and Exchange Commission in March said it was prioritizing its review of applications for firms aiming to offer ETF...
Regulators Urged to Take Risk-Based Approach Toward AI
A recent SEC-hosted roundtable addressing artificial intelligence highlighted the risks and rewards of its usage in financial services.
Electronic Disclosure Bill Reintroduced in House
Similar to a measure that passed the House last year, the Improving Disclosure for Investors Act prioritizes electronic delivery of...