SEC Issues

Here you’ll find posts and commentary about the role and activities of the Securities and Exchange Commission, including enforcement actions, the promulgation of new compliance requirements, speeches by SEC Commissioners, etc.


 

 

 

SEC Issues

SEC Issues

By Nevin Adams 4/19/2018 • 0 Comments

Despite the 4-1 vote by the SEC to release for public comment its fiduciary proposals, the commissioners apparently (still) have issues with the current version. READ MORE

By Andrew Remo4/19/2018 • 0 Comments

The SEC commissioners voted 4-1 to release for public comment a set of proposals to “enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers while preserving access to a variety of types of advice relationships and investment products.” READ MORE

By Nevin Adams 4/12/2018 • 0 Comments

The Securities and Exchange Commission has announced plans for an open meeting to consider the agency’s long-awaited — and much anticipated — fiduciary proposal. READ MORE

By ASPPA Net Staff2/21/2018 • 0 Comments

In a recent blog post, Fred Reish focuses on the issue of “reasonable compensation” and what, if any, changes will be made to that requirement. READ MORE

By ASPPA Net Staff2/12/2018 • 0 Comments

In its FY 2019 budget request, the Securities and Exchange Commission is seeking a slight increase in funding for inspections and examinations. READ MORE

By John Iekel 2/8/2018 • 0 Comments

The SEC Office of Compliance Inspections and Examinations has retirement savers in mind this year in its 2018 examination priorities. READ MORE

By John Iekel 1/22/2018 • 0 Comments

A recent analysis suggests that the SEC’s take on a fiduciary standard may be inching closer to that of the DOL. READ MORE

By John Iekel 1/17/2018 • 0 Comments

Implementation of the DOL’s fiduciary rule has been delayed, but the SEC's work on its own rule reportedly is accelerating. READ MORE

By John Iekel10/5/2017 • 0 Comments

SEC Chairman Jay Clayton reiterated on Oct. 4 in testimony before the House Financial Services Committee that he is “focused on the standards of conduct” for investment professionals. READ MORE

By John Iekel9/26/2017 • 0 Comments

SEC Chairman Jay Clayton told the Senate Committee on Banking, Housing and Urban Affairs he hopes the SEC can “properly tailor” an approach that will best address issues related to the DOL fiduciary rule. READ MORE

By Ted Godbout7/14/2017 • 0 Comments

Witnesses at a House Financial Services subcommittee hearing largely supported a bill to repeal the current DOL fiduciary rule and direct the SEC to take the lead in regulating the standards of care for investment advice. READ MORE

By John Iekel7/12/2017 • 0 Comments

It is important that the SEC bring "clarity and consistency” to “standards of conduct that investment professionals must follow in providing advice to Main Street investors,” SEC Chairman Clayton said on July 12. READ MORE

By ASPPA Net Staff6/30/2017 • 0 Comments

Securities and Exchange Commission Chairman Jay Clayton says that his agency must work with the Department of Labor on the fiduciary rule. READ MORE

By ASPPA Net Staff6/23/2017 • 0 Comments

In a blog post on the fiduciary regulation, Fred Reish examines the components of a “best interest” process. READ MORE

By John Iekel6/6/2017 • 0 Comments

Newly minted SEC Chairman Clayton welcomes the DOL's invitation to look at the standards of conduct that are at the core of the DOL’s fiduciary rule. READ MORE

By ASPPA Net Staff1/18/2017 • 0 Comments

The SEC on Jan. 17 announced that 10 firms have agreed to pay penalties to settle charges that they violated the pay-to-play rule. READ MORE

By ASPPA Net Staff1/12/2017 • 0 Comments

Retirement investments and advice are among the examination priorities of the SEC's Office of Compliance Inspections and Examinations (OCIE) for 2017, the SEC said on Jan. 12. READ MORE

By ASPPA Net Staff11/15/2016 • 0 Comments

Securities and Exchange Commission (SEC) Chair Mary Jo White, after nearly four years as the agency’s head, has announced that she intends to leave at the end of the Obama administration. READ MORE

By ASPPA Net Staff11/3/2016 • 0 Comments

A new report takes a look at the comments Securities and Exchange Commission staff have made to registrants on the SEC website concerning pension and retirement benefits other than pensions . READ MORE

By ASPPA Net Staff9/29/2016 • 0 Comments

The Securities and Exchange Commission (SEC) Division of Corporate Finance has provided some comfort for those who offer self-directed brokerage accounts. READ MORE

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