Tag: SEC

Michael Barry, president of October Three (O3) Plan Advisory Services LLC, discusses how the Securities and Exchange Commission’s (SEC)’s broker/investment...

The decision puts another layer of finality on the fate of the now-defunct Department of Labor fiduciary rule expansion, meaning...

This would replace a pending requlation that would have required the disclosure to be made on Form N-PORT on a...

However, the deadlines for creating a liquidity risk management program and to limit illiquid investments to 15% of a fund’s...

Brokers serving retirement plans and other institutional investors were accused of routing orders for equities to an offshore affiliate in...

The committee's initial focus will be on the corporate bond and municipal securities markets.

A bill that would repeal much of the Dodd-Frank Wall Street Reform Act and block the DOL fiduciary rule has...

The SEC says whether offering a brokerage window in a 401(k) through which investments in employer securities can be made...

While retirement industry regulators have been busy, not much has come out of Congress affecting retirement plans, but that may...

The Retail Investor Protection Act is likely to be vetoed by the White House.

Focus on DOL’s fiduciary rulemaking is understandable—but there are other major regulatory changes in the works that will directly impact...

Transcripts from a tough SEC hearing called earlier this month show it's not just the Department of Labor considering changes...

A bipartisan group of U.S. House members penned an open letter to the Department of Labor that demands more detail...

A number of elected officials have emerged on the side of financial advisers in opposing the Department of Labor’s fiduciary...

Annette Guarisco Fildes has been appointed CEO of the ERISA Industry Committee.

The Securities and Exchange Commission adopted several sets of rules and proposed others related to data collection and reporting for...

July 23, 2014 (PLANSPONSOR.com) – New Securities and Exchange Commission (SEC) rule amendments establish structural and operational reforms aimed at addressing...

April 9, 2014 (PLANSPONSOR.com) – A survey of retirement plan sponsors from AARP suggests there is widespread support for holding...

January 27, 2014 (PLANSPONSOR.com) – The Department of Labor (DOL) has reached a settlement with Western Asset Management Company, a...