Dalia Blass, director of the SEC’s division of investment management, will leave the agency in January.
She has led the division since September 2017, overseeing more than 70 regulatory initiatives affecting investment companies and investment advisers, the Securities and Exchange Commission said in a release.
Among many accomplishments during Blass’ tenure, the SEC said, the division recommended that the commission authorize new, actively managed ETF models that do not publish their portfolio holdings daily, updated the framework for regulating fund-of-funds arrangements, and modernized the registration, offering and communications processes for business development corporations and closed-end funds.
Advisor-led adoption has been rapid for tasks from translating annuity contracts into plain English to speedy webinar prep.
Austin, Texas headquartered firm taps former BlackRock managing director following an internal leadership shuffle.
InvestmentNews reported in 2017 that the IRS was scrutinizing the tax shelter land deals, called syndication conservation easements.
Advisors gain a second workflow for 401(k) guidance as the fintech expands beyond bulk rebalancing, backed by new policy research on advice access.
New data shows most people do not have enough saved to cover costs and are not fully utilizing their accounts.
Northern Trust’s Ken Lassner shows advisors how to convert volatility into after-tax portfolio gains
Dan Biagini of American Equity says the steady decline of pensions, longer lifespans and a reset in interest rates are rewriting how advisors build retirement income
