Compliance | June 26th, 2025 SEC to Evaluate Use of Private Equity in Retirement Accounts The agency has previously raised concerns about risks of the traditionally institutional asset class.
Compliance | June 13th, 2025 SEC Pulls Plug on 14 Biden-Era Proposals, Citing Strategic Shift Rules spanning ESG, cybersecurity provisions and more have been rescinded.
Compliance | May 12th, 2025 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...
Compliance | May 9th, 2025 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...
Compliance | January 17th, 2025 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...
Compliance | July 10th, 2024 SEC to Re-Propose Swing Pricing The new proposal is likely to emerge in 2025.
Compliance | May 23rd, 2024 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.
Compliance | May 22nd, 2024 Bill Creating Crypto Regulatory Structure Moves Through House Critics say the bill significantly weakens the regulatory structure on crypto assets.
Compliance | March 18th, 2024 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...
Compliance | January 25th, 2024 SEC Fines Aon $1.5M for Lying to Pennsylvania Fund Aon misrepresented the source of inaccurate performance data it provided to the fund.
Compliance | January 10th, 2024 Can You Permit Crypto in a Brokerage Window? Probably not worth the risk, but there is no ban on it.
Compliance | November 22nd, 2023 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...
Investing | November 8th, 2023 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...
Compliance | October 26th, 2023 New House Speaker Mostly Unknown to Retirement Industry Industry advocates have very little to say about Mike Johnson, good or bad, but another budget showdown could reveal his...
Compliance | October 10th, 2023 Retirement Industry Calls On SEC to Withdraw Proposal on AI, Conflicts of Interest The proposal would limit the availability of educational and retirement readiness tools for participants, commenters say.
Compliance | September 29th, 2023 Personal Device Use Costs 10 Broker, Adviser Firms $79M The fine was imposed by the SEC Friday for persistent and high-level failures to communicate on approved channels.
Compliance | September 29th, 2023 SEC to Allow RILAs to Register on Simplified Forms The proposal would streamline the registration and disclosure process for RILAs and highlight their unique features.
Compliance | September 26th, 2023 Mutual Fund Trustees Resist Aiding and Abetting Charges The SEC argues fund trustees assisted a mutual fund in dodging liquidity requirements by not acting to properly classify the...
Compliance | July 14th, 2023 Republicans Take Aim at Proxy Voting Firms Congressional Republicans allege that proxy firms give advice based on political preferences, not investors' financial interest.
Compliance | July 13th, 2023 Senate Appropriations Committee Advances Funding for SECURE 2.0 Lost and Found The committee’s spending bill appropriates $14 million for the creation of a retirement account database.