Tag: SEC

The commissioner said defined contribution plans should diversify beyond public securities aligning with the August executive order spotlighting inclusion of private assets in retirement plans.

The Securities and Exchange Commission intends to focus on scrutinizing recommendations made to older investors and retirement savers.

The agency has previously raised concerns about risks of the traditionally institutional asset class.

Rules spanning ESG, cybersecurity provisions and more have been rescinded.

In a letter to the SEC, senators and representatives wrote that a ban would remove an ‘unacceptable risk’ and protect...

The commission clarified what applies when a 401(k) plan participant subject to insider trading rules sells company stock through a...

The regulator found that the firm did not provide accurate information about the capital gains and tax implications of a...

The new proposal is likely to emerge in 2025.

Instead, they would likely adopt liquidity fees, though Chair Gensler did not say so explicitly.

Critics say the bill significantly weakens the regulatory structure on crypto assets.

The U.S. 5th Circuit Court of Appeals issued a stay for a rule that included some standards set to take...

Aon misrepresented the source of inaccurate performance data it provided to the fund.

Probably not worth the risk, but there is no ban on it.

Kraken filing should be "a clear warning" to retirement plans to consider if offering crypto investments is "prudent," Wagner Law...

In an uncertain regulatory environment, panelists discussed considerations for plan sponsors when evaluating whether to put ESG funds into an...

Industry advocates have very little to say about Mike Johnson, good or bad, but another budget showdown could reveal his...

The proposal would limit the availability of educational and retirement readiness tools for participants, commenters say.

The fine was imposed by the SEC Friday for persistent and high-level failures to communicate on approved channels.

The proposal would streamline the registration and disclosure process for RILAs and highlight their unique features.

The SEC argues fund trustees assisted a mutual fund in dodging liquidity requirements by not acting to properly classify the...