Plan would require wealthy investors to pay capital gains tax on appreciation of their assets each year.
Allison H. Lee could arrive just as the agency is finishing its advice reform rule, or get stuck awaiting Senate confirmation.
Further action appears unlikely with legislature set to adjourn April 8.
The case, the first to address the issue of ERISA pre-emption, is a positive sign for other states.
The billionaire Democrat joins list of others calling for higher taxes on the wealthy.
Measure would help small businesses offer plans, require that statements include lifetime-income projections, ease use of annuities in plans and increase the RMD age.
Michael Pieciak details four ways lawmakers can empower investors in 2019, including banning mandatory arbitration.
SEC chairman Clayton says the agency will come to an agreement with the industry over what information to collect on equity trades.
Advisers who don't know exactly what they need to file, haven't done it or haven't invested the resources to do it right can make big mistakes that can be very time-consuming and costly to undo.
Tussey v. ABB, one of the few such cases to go to trial, resulted in one of the largest settlements ever paid by a plan sponsor.
Dennis Gibb admits to wire fraud and falsifying records; agrees to SEC bar.
Agency says Richard Diver's scheme overcharged clients of M&R Capital by $750,000 .
Banker held liable for taking part in scheme to defraud investors.
Republicans assert bill would simply delay the new rule.
Jose Ramirez pleaded guilty to misusing credit lines to purchase securities.
SEC chairman says guiding principle should be: 'What would a reasonable investor expect?'
The well-recognized merits of passive investing do not mean that all index investments are prudent or superior to active alternatives in all situations.
Congressional panel holds hearings, but no action is expected this year.
Regulator's CEO says the agency has "extra cash in the till," referring to excess reserves to fill any shortfall.
Wirehouse will allow more advisers to manage retirement plan menus on a discretionary basis via a Bank of America chief investment office selection.
