Tag: Securities and Exchange Commission

The Securities and Exchange Commission announced Wednesday that Sam Waldon, principal deputy director of its Division of Enforcement, will leave...

The Securities and Exchange Commission on Thursday proposed a rule that would make electronic delivery the default for most required...

Groups expressed concern over the CAT’s funding and ‘Orwellian’ threats to investors’ privacy.

Default digital delivery is a regulatory objective for Securities and Exchange Commission Chair Paul Atkins.

Former co-CIO Ken Leech was accused of cherry-picking, and the penalty will go to affected investors.

The agency is prioritizing many of the topics Chair Paul Atkins has most focused on, such as reducing corporate disclosures...

The Securities and Exchange Commission’s regulatory statement may open the door to wider participation in pooled employer plans.

Congressional action is required to allow collective investment trusts to be included in 403(b) plans.

The Securities and Exchange Commission is accepting public feedback on a review of the world’s largest database of retail and...

More than half of the advisers currently required to file Form PF, a disclosure document, would be exempt if previous...

Woodcock will fill the role on May 4, with interim head Sam Waldon continuing to serve until then.

The Department of Labor could lose one-fourth of its budget and more than 2,000 full-time employees.

While policymakers and market leaders anticipate expanded access, industry experts still have concerns over transparency fees and liquidity.

Sam Waldon has returned to the role of acting director.

Addressing the House Committee on Financial Services, Paul Atkins said that 401(k)s should have access to alternative investments, much like...

The Department of Labor submitted its rule ahead of the six-month deadline given in President Donald Trump’s executive order last...

The Massachusetts Democrat previously criticized adding private investments, such as digital assets, to retirement plans.

Caroline Crenshaw’s departure leaves the Securities and Exchange Commission with three Republican appointees, all of whom are known for deregulatory...

The 64-page bill proposes a new certification exam for ‘accredited investors’ and would allow 403(b) plans to invest in the...

House Republicans’ remarks on ‘predatory’ prohibited transaction claims came shortly after SEC Chairman Paul Atkins pushed for deregulation at the...