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...
Tag: Securities and Exchange Commission
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...
Senate Confirms Paul Atkins as SEC Chairman
The founder and chief executive of Washington, D.C.-based consultancy Patomak Global Partners was also an SEC commissioner under President George...
What the 2024 Election Will Mean for Advisers
When it comes to retirement planning, expect increased attention on the fiduciary investment adviser proposal, contribution limits and tax cuts.
SEC Charges Against Kraken Identify Specific Tokens as Securities
The complaint is another sign to 401(k) plan fiduciaries to take care with digital asset availability in plans, according to...
Compliance Analysis
The SEC on Cybersecurity
Review your policies and procedures—it’s a fiduciary duty
Pensionmark Hires Compliance Head To Help With Acquisition Push
Jonathan Curley, a former RIA, will perform due diligence on firms Pensionmark is looking to acquire.
Practice Management / Cybersecurity
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Foil potential breaches with strong data security practices.