SEC Offers Securities Law Flexibility for PEPs
The Securities and Exchange Commission’s view could spearhead more movement toward pooled employer plans.
Tag: SEC
Margaret Ryan, SEC Enforcement Division Director, Resigns
Sam Waldon has returned to the role of acting director as the agency said it will announce a permanent replacement...
Retail Access to Private Markets Will Depend on Transparency, Education
Experts at two Securities and Exchange Commission roundtable conversations warned that clearer disclosures on valuation, liquidity and fees are critical...
SEC’s Atkins Supports Private Assets in DC Plans During House Hearing
According to the chair, the commission is working actively with the Department of Labor to provide proper guidance to plan...
Senator Elizabeth Warren Warns SEC Against Allowing Crypto in 401(k)s
The Massachusetts Democrat has been critical of adding private investments, including digital assets, to retirement plans.
SEC’s Uyeda Calls for Opening 401(k)s to Private Markets
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.
SEC’s 2026 Exam Priorities Put Spotlight on Retirement Investors
The Securities and Exchange Commission intends to focus on scrutinizing recommendations made to older investors and retirement savers.
SEC to Evaluate Use of Private Equity in Retirement Accounts
The agency has previously raised concerns about risks of the traditionally institutional asset class.
SEC Pulls Plug on 14 Biden-Era Proposals, Citing Strategic Shift
Rules spanning ESG, cybersecurity provisions and more have been rescinded.
Lawmakers Ask SEC to Delist Chinese Stocks From US Exchanges
In a letter to the SEC, senators and representatives wrote that a ban would remove an ‘unacceptable risk’ and protect...
SEC Offers Guidance on Insider Trading Rules for 401(k) Brokerage Windows
The commission clarified what applies when a 401(k) plan participant subject to insider trading rules sells company stock through a...
Vanguard Fined by SEC for Misleading Retail TDF Investors
The regulator found that the firm did not provide accurate information about the capital gains and tax implications of a...
SEC Might Drop Swing Pricing from Mutual Fund Liquidity Proposal
Instead, they would likely adopt liquidity fees, though Chair Gensler did not say so explicitly.
Bill Creating Crypto Regulatory Structure Moves Through House
Critics say the bill significantly weakens the regulatory structure on crypto assets.
Appeals Court Pauses SEC’s Climate Disclosure Rule
The U.S. 5th Circuit Court of Appeals issued a stay for a rule that included some standards set to take...
SEC Fines Aon $1.5M for Lying to Pennsylvania Fund
Aon misrepresented the source of inaccurate performance data it provided to the fund.
Can You Permit Crypto in a Brokerage Window?
Probably not worth the risk, but there is no ban on it.
SEC Case Highlights Why Fiduciaries Should Be Cautious About Crypto
Kraken filing should be "a clear warning" to retirement plans to consider if offering crypto investments is "prudent," Wagner Law...
Navigating ESG: the Informed ESG Investor
In an uncertain regulatory environment, panelists discussed considerations for plan sponsors when evaluating whether to put ESG funds into an...