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 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 Adams4/12/2018 • 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 NTSA Net Staff3/9/2018 • 0 Comments

Remember that the automatic prospectus delivery requirement has been eliminated, but the Securities and Exchange Act requires that 403(b) and 457(b) plan prospectuses be delivered. READ MORE

By NTSA Net Staff3/1/2018 • 0 Comments

True to its word, the SEC has announced a settlement with a broker-dealer and investment advisor that it says overcharged retirement account customers for mutual fund shares. READ MORE

By John Iekel 1/26/2018 • 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 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

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