Plan fiduciaries could have to prove that nonfinancial factors of ESG funds are in the best interest of workers, one lawyer said
With demand from investors growing, plan sponsors focus on their fiduciary duty
The changes modernize private market rules and make it easier for small companies to obtain financing, according to SEC Chairman Jay Clayton
If Democrats prevail, regulators may upset the new Reg BI standard, leading to big changes in fee structures — or they may just leave it alone
There’s a lot in the bill for pre-retirees, company sponsors and retirees, but the changes proposed for retirees jumped out at me
Agency takes the term 'ESG' out of the text, but opponents say the regulation's chill factor remains
The new rule requires reps to receive written permission before accepting an inheritance
Biden's tax proposals and call for increased antitrust scrutiny would pose challenges for dealmakers
Heading into Q4, advisers are feeling more confident about financial markets, their businesses and the overall economy
Valliere, Gardner see a narrow Electoral College victory for the former vice president
Christopher W. Burns allegedly defrauded hundreds of thousands of dollars from clients, according to the agency
Agency also seeks comments on whether additional rules are needed to protect investors buying complex products
COVID-19 could lead more workers to take money out of retirement accounts, according to a survey from Edelman Financial Engines
Broker-dealers have been competing to lower fees in order to reduce potential conflicts of interest
The $100,000 fine the SEC imposed on a wealth management firm related to its employees’ text messages shows the need for caution in this area
Arbitrators also rebuffed brokers’ counterclaims of defamation and unfair competition
The measure would build on the SECURE Act, but its legislative path is uncertain
More than $3 billion was returned in fiscal 2020 through investigations, voluntary corrections and other programs, according to the agency
Under the rule change, only managers with at least $3.5 billion in equities would have had to publicly report their holdings, up from the current $100 million threshold
Advisory firms should provide more details to reps on how to comply with the new rules, said SEC staff members
