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.


 

 

 

By ASPPA Net Staff8/8/2018 • 0 Comments

Trump administration officials reportedly are focusing on a former SEC enforcement attorney to replace Democratic Commissioner Kara Stein, who must step down by the end of the year. READ MORE

By Ted Godbout8/3/2018 • 0 Comments

The American Retirement Association has weighed in on the SEC’s Regulation Best Interest proposal. READ MORE

By Ted Godbout7/27/2018 • 0 Comments

Securities and Exchange Commissioner Hester Peirce on July 24 argued that the proposed Regulation Best Interest would set clear standards, even though the word “fiduciary” is not directly incorporated in the proposal. READ MORE

By ASPPA Net Staff6/18/2018 • 0 Comments

How does the best interest standard of care in the SEC’s Regulation Best Interest compare to the standard of care in the DOL’s Best Interest Contract Exemption (BICE)? READ MORE

By Ted Godbout6/10/2018 • 0 Comments

President Trump has nominated Senate Banking Committee aide Elad Roisman to serve as a Republican member of the SEC. READ MORE

By Ted Godbout6/6/2018 • 0 Comments

The SEC has approved a proposal that it says will improve the method for delivering fund shareholder reports to investors in mutual funds, ETFs and other investment funds. READ MORE

By John Iekel 5/24/2018 • 0 Comments

Robert Kaplan, the American Retirement Association’s Director of Technical Education, provided a look at recent regulatory and legislative developments in a May 22 ASPPA webcast. READ MORE

By ASPPA Net Staff5/8/2018 • 0 Comments

One of the most vocal critics of the Labor Department’s fiduciary rule is leaving the Securities and Exchange Commission — with a mammoth advice proposal out for public comment. READ MORE

By Ted Godbout4/29/2018 • 0 Comments

Leading ERISA legal minds believe the SEC’s proposals to establish new standards of conduct for broker-dealers and investment advisers still need a lot of work. READ MORE

By Nevin Adams4/29/2018 • 0 Comments

Sometimes the hype surrounding a new blockbuster is so compelling that it builds up expectations beyond the reality; doubtless that was the sense of many in reading the Best Interest Regulation proposal published by the SEC. READ MORE

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

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