Company Stock Registration Not Necessarily Required With Brokerage Window
The SEC says whether offering a brokerage window in a 401(k) through which investments in employer securities can be made...
Tag: SEC
What to Anticipate from Washington for Retirement Plans
While retirement industry regulators have been busy, not much has come out of Congress affecting retirement plans, but that may...
House Passes Bill Opposing Fiduciary Rule
The Retail Investor Protection Act is likely to be vetoed by the White House.
Regulatory Change Brewing Beyond Fiduciary Rule
Focus on DOL’s fiduciary rulemaking is understandable—but there are other major regulatory changes in the works that will directly impact...
SEC Faces Its Own Debate on Fiduciary Advice Standards
Transcripts from a tough SEC hearing called earlier this month show it's not just the Department of Labor considering changes...
House Members Push DOL for Fiduciary Rule Details
A bipartisan group of U.S. House members penned an open letter to the Department of Labor that demands more detail...
Advisers Gain Congressional Allies in Fiduciary Definition Debate
A number of elected officials have emerged on the side of financial advisers in opposing the Department of Labor’s fiduciary...
ERIC Names New Chief Executive
Annette Guarisco Fildes has been appointed CEO of the ERISA Industry Committee.
SEC Toughens Security-Based Swap Data Reporting Rules
The Securities and Exchange Commission adopted several sets of rules and proposed others related to data collection and reporting for...
SEC Adopts Money Market Fund Reform Rules
July 23, 2014 (PLANSPONSOR.com) – New Securities and Exchange Commission (SEC) rule amendments establish structural and operational reforms aimed at addressing...
Benefits |
Sponsors Support Stricter Fiduciary Standards
April 9, 2014 (PLANSPONSOR.com) – A survey of retirement plan sponsors from AARP suggests there is widespread support for holding...
DOL, SEC Reach Settlements with Western Asset Management
January 27, 2014 (PLANSPONSOR.com) – The Department of Labor (DOL) has reached a settlement with Western Asset Management Company, a...
Reps. Petition DOL on Fiduciary Rule
January 15, 2014 (PLANSPONSOR.com) – U.S. House members belonging to the New Democrat Coalition asked the Department of Labor (DOL)...
SEC Chairman Schapiro to Step Down
November 26, 2012 (PLANSPONSOR.com) – After nearly four years in office, SEC Chairman Mary L. Schapiro announced she will step...
Benefits |
How Well Do You Know Your B/D?
September 7, 2012 (PLANSPONSOR.com) - Do you really know how your broker/dealer makes money? If not, it’s time to learn...
Survey Gives Insider Look at Thoughts from Public Company Directors
September 26, 2011 (PLANSPONSOR.com) - According to a new survey by the Corporate Governance Practice of BDO USA, LLP, most...
SEC Charges Quant Manager With Fraud
September 22, 2011 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) has charged the co-founder of institutional...
SEC Settles with 344 Defendants
June 27, 2011 (PLANSPONSOR.com) - In the first half of fiscal 2011(1H11), the Securities and Exchange Commission settled with 344...
SEC Provides Guidance on Swaps Requirements
June 17, 2011 (PLANSPONSOR.com) - The Securities and Exchange Commission has provided guidance on the timing of...
SEC Seeks Input on Investor Education
April 19, 2011 (PLANSPONSOR.com) - The Securities and Exchange Commission is looking for some input on the...