Tag: SEC

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...

January 15, 2014 (PLANSPONSOR.com) – U.S. House members belonging to the New Democrat Coalition asked the Department of Labor (DOL)...

November 26, 2012 (PLANSPONSOR.com) – After nearly four years in office, SEC Chairman Mary L. Schapiro announced she will step...

September 7, 2012 (PLANSPONSOR.com) - Do you really know how your broker/dealer makes money? If not, it’s time to learn...

September 26, 2011 (PLANSPONSOR.com) - According to a new survey by the Corporate Governance Practice of BDO USA, LLP, most...

September 22, 2011 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has charged the co-founder of institutional...