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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 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 John Iekel9/19/2017 • 0 Comments

Action by the SEC due to breaches of fiduciary duty, inadequate disclosures and compliance deficiencies has prompted an RIA to issue rebates and credits to some of its clients, which include non-profits that sponsor 403(b) plans. 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 Iekel7/13/2017 • 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 NTSA 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 NTSA Net Staff3/8/2017 • 0 Comments

President Trump’s nominees for Labor Secretary and SEC Chairman finally have hearing dates. READ MORE

By NTSA Net Staff3/8/2017 • 0 Comments

The Securities and Exchange Commission’s Acting Chairman Michael Piwowar is,no fan of the DOL’s fiduciary rule, and recent reports say he also advocates rethinking a fiduciary standard, period. READ MORE

By NTSA Net Staff3/8/2017 • 0 Comments

Much of the preparation for the Labor Department’s fiduciary regulation has involved a focus on rollover advice — but it now looks like the SEC is gearing up a larger focus as well. READ MORE

By NTSA 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 NTSA 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 NTSA Net Staff9/28/2016 • 0 Comments

Securities and Exchange Commission (SEC) Chair Mary Jo White at a Sept. 27 event in Washington, D.C. reiterated that her agency’s fiduciary rule is coming, but “not any time soon.” READ MORE

By Ray Harmon9/14/2016 • 0 Comments

Broker-dealers and registered representatives must link to FINRA’s BrokerCheck website on their home pages and any pages on their websites featuring profiles of representatives who work with retail investors, a rule effective after the SEC approved a change to FINRA Rule 2210. READ MORE

By NTSA Net Staff6/16/2016 • 0 Comments

Securities and Exchange Commission Chair Mary Jo White told the Senate Committee on Banking, Housing, and Urban Affairs on June 14 that her agency is indeed working on a fiduciary rule of its own, but will not be issuing it anytime soon. READ MORE

By NTSA Net Staff5/20/2016 • 0 Comments

The Securities and Exchange Commission plans to issue a “personalized investment advice standard of conduct” in the spring of 2017, according to the agency’s latest regulatory plan. READ MORE

By Nevin Adams 4/1/2016 • 0 Comments

Sen. Elizabeth Warren (D-Mass.) is turning up the heat on financial services firms that have opposed the Department of Labor’s (DOL) pending fiduciary regulation. READ MORE

By NTSA Net Staff3/22/2016 • 0 Comments

Securities and Exchange Commission (SEC) Chair Mary Jo White on March 22 presented her agency’s fiscal year (FY) 2017 budget request, which calls for increased funding for examination of investment advisers and other key entities who interact with retail and institutional investors.
READ MORE

By NTSA Net Staff3/16/2016 • 0 Comments

The Securities and Exchange Commission (SEC) has formed the Office of Risk and Strategy (ORS), a new office within the Office of Compliance Inspections and Examinations (OCIE); its duties will include examining practices relevant to retirement plans. READ MORE

By NTSA Net Staff11/25/2015 • 0 Comments

The good news is that the Securities and Exchange Commission (SEC) has established a date for issuance of a notice of proposed rulemaking (NPRM) for the Personalized Investment Advice Standard of Conduct. READ MORE

By NTSA Net Staff11/19/2015 • 0 Comments

Securities and Exchange Commission Chairman Mary Jo White on Nov. 18 faced some tough questions from members of the House Financial Services Committee from both parties concerning her agency’s work on setting a uniform fiduciary standard of conduct. READ MORE

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