Republicans Move to Prevent SEC Climate Disclosure Requirements
Though the SEC has not approved its proposal to require climate-risk and carbon emissions disclosures, Republicans are moving to prevent...
Tag: SEC
The Mid-Term Results and What They Mean for ESG and SECURE 2.0
ESG strategists may experience greater uncertainty when Republicans take over the House, but supporters of SECURE 2.0 can still expect...
SEC Considers Making Swing Pricing Mandatory for Open-Ended Mutual Funds
If adopted, the new rule would require most open ended funds to keep at least 10% of their assets in...
Investment Bank’s Policy Strategist Says Republicans Likely to Take House of Representatives
The Chief Washington Strategist at Stifel believes Republican control could lead to headline and potential policy risks for 'woke capital.'
SEC’s Proposed Climate Regulation Draws Support and Criticism
Investment consultants' sustainability group and others are supportive, while financial services firms and asset managers raise objections.
Proposed SEC Regulations Address Advisers’ ESG Practices, Fund Names
One proposal put forward Wednesday by the Securities and Exchange Commission would restrict the way investment managers use ESG nomenclature...
Pensions Will Recoup Losses From Allianz Structured Alpha Investments
Following an SEC settlement, most of the U.S. business of Allianz Global Investors will transfer to Voya Investment Management.
SEC’s Proposed Money Market Funds Rules Draw Opposition
’Swing pricing’ and liquidity minimums have at least one large asset manager threatening to exit the market.
Climate Disclosure Rules Proposed by SEC
Organizations would be required to disclose their governance of climate-related risks and relevant risk management processes, as well as their...
SEC Proposes New Money Market Fund Rules
The proposed amendments are designed to address potential runs on money market funds during times of market stress.
SEC Proposes Rule to Increase Securities-Lending Market Transparency
The Dodd–Frank Act mandated that the agency increase transparency regarding the loaning or borrowing of securities for brokers, dealers and...
SEC Spotlights Revenue Sharing Disclosure Failures
A recent regulatory order filed by the Securities and Exchange Commission demonstrates some of the ways revenue sharing and disclosure...
New SEC Adviser Says Consumer Protection is Top Priority
Barbara Roper, who is known for her extensive work on financial services consumer protections as a leader of the Consumer...
TIAA Subsidiary’s SEC Settlement Requires Rollover Reforms
Regulators say the firm failed to adequately disclose conflicts of interest to thousands of participants in TIAA recordkept employer-sponsored retirement...
SEC Settles Charges of Cybersecurity Failure Against GWFS Equities
The broker/dealer has agreed to a $1.5 million fine, a censure and an order to cease and desist from future...
The SEC’s Retail Mutual Fund Disclosure Framework Is Changing
A new Securities and Exchange Commission proposal takes a sensible, layered approach to disclosure that takes advantage of today’s ubiquitous...
VALIC Financial Advisors Charged With Disclosure Failures
The SEC says VALIC Financial Advisors failed to disclose to Florida teachers practices that generated millions of dollars in fees...
Back to the Fiduciary Future?
Analysts say the Department of Labor is officially reinstating the “five-part test” for determining fiduciary status.
Newly Published DOL Fiduciary Proposal Matches SEC’s Reg BI
The proposed rule aligns with the SEC’s Regulation Best Interest and the Suitability in Annuity Transactions Model Regulation adopted last...
How the SEC’s Reg BI Will Affect Retirement Plan Sponsors and Participants
While participants will be affected more than sponsors, sources say it is a best practice for sponsors to know when...