Displaying 1164 results
DOL posts record financial recoveries for benefits plans
More than $3 billion was returned in fiscal 2020 through investigations, voluntary corrections and other programs, according to the agency
SEC Democrats object to no-action letter on brokers borrowing securities
Lee, Crenshaw say the agency is providing leeway to violate the rule, putting investor funds at risk
401(k) plans should allow cross selling: Report
Hearts & Wallets report finds participants want advice that their employer-sponsored plans simply can't provide
XYPN advocates for consistent regulation of fee-for-service advisory model
The group's lobbying effort must address states’ concerns about charging without delivering
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
Clayton touts SEC enforcement achievements despite pandemic disruptions
The agency imposed sanctions totaling more than $4 billion and examined 15% of RIAs
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
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
SEC charges RIA with making false statements about its finances
Marietta, Georgia-based Lindner Capital Advisors and its principal were also charged with compliance deficiencies
Complying with state senior reporting statutes
Firms must consider the interplay between different reporting laws in each state to maximize their immunity
