All firms involved have agreed to settle the allegations that they missed regulatory deadlines for the customer relationship summaries.
Tag: Securities and Exchange Commission
The agency will address criticism that the changes make advisers’ roles in proxy voting more cumbersome.
The Great-West Life affiliate was accused of violating the federal securities laws governing the filing of Suspicious Activity Reports.
A new webpage brings together all the agency’s actions and information as a response to increased investor demand for climate and ESG investing.
The office is also calling on the SEC to establish an ESG framework.
Reg BI, a new fiduciary rule proposal from the DOL and state-enacted fiduciary rules—what advisers should keep in mind.
The firm was also charged with mutual fund share class violations.
The rule blurs the line between advice and sales, potentially hurting both advisers and investors, he says.
The self-regulatory organization says it will help members implement the SEC's sweeping new conflict of interest disclosure rules.
A survey finds cybersecurity is registered investment advisers' (RIAs) highest concern.
The lower chamber has voted to block funding for the SEC to implement and enforce Regulation Best Interest.
Experts say the new SEC rules could allow brokers to encroach into the traditional territory of advisers without having to meet the same fiduciary standard of care.
The regulator is increasing its education about saving and investing to these groups, along with enforcement to safeguard them.
Banc West Investment Services asked the Securities and Exchange Commission to clarify its stance on the potential conflict between FINRA suitability determinations called for by rollover decisions and, on the other hand, SEC demands to forward customer checks within a day of receipt.