Displaying 10198 results
XYPN rules out Supreme Court appeal over Reg BI
The network of fee-for-service advisers will instead focus on state-level fiduciary advocacy
Salesforce 401(k) suit dismissal a reprieve amid much litigation
A federal judge tossed the excessive-fee claims, though they will likely be refiled
How ‘baby bonds’ could reshape racial wealth inequality
One proposal could reduce the wealth gap, but differences in home equity complicate things
SEC warns firms not to omit disciplinary history from Form CRS
Top agency officials say staff members are finding compliance shortcomings in the disclosure document
Morgan Stanley fined $60 million over failed hardware oversight
The Office of the Comptroller of the Currency cited shortcomings related to the decommissioning of data centers for the firm's wealth management unit
Clayton touts SEC enforcement achievements despite pandemic disruptions
The agency imposed sanctions totaling more than $4 billion and examined 15% of RIAs
The SEC’s push for more alts and private placements is the wrong move at the wrong time
Plenty of examples prove the regulator's efforts are out of step with the market
SEC proposal would allow ‘finders’ to pitch unregistered securities
While approved for public comment, Democratic commissioners voiced concerns over investor protections
In-plan retirement income slow to arrive
Figuring out how defined-contribution plans can provide a guaranteed stream of income requires all hands on deck
Why is ESG used most in retirement plans? It’s not performance
Institutional investors use environmental, social and governance factors to align with stakeholders, according to a report by Callan
SEC streamlines process for creation of fund of funds
Under the new rule, most arrangements won't need individual approval
Second Trump term could be boon for private market offerings
If Chairman Jay Clayton leaves the SEC, a Republican successor likely will pick up the mantle
Critics pummel SEC effort to boost reporting threshold for money managers
Opponents say the higher level for reporting stock holdings deprives investors and advisers of crucial information
Radio show adviser reported missing ahead of SEC investigation
Christopher W. Burns allegedly fled the day before he was expected to hand over documents to the regulator
TriNet sued over MEPs
Law firm Capozzi Adler, which has been the most active 401(k) litigator this year, filed the class-action complaint against the HR provider
Are MEPs the next big target for lawsuits?
At least three cases were filed recently against providers of multiple employer plans, and two other cases have been settled
AR Global REIT splits, lists, tanks
New York City REIT sees a staggering decline in value after it begins trading
Where opportunity meets responsibility
Examining the implications of the SEC expanded definition of an 'accredited investor' for private equity investors — and the advisers who serve them
Schlichter slapped with sanction in Great-West lawsuit
The allegations fell under section 36(b) of the Investment Company Act — a strategy that has been unsuccessful for numerous plaintiffs who sue investment managers
Finra proposes fee increase beginning in 2022
The brokerage industry self-regulatory organization says the hike is needed to address structural deficit
