Regulation

Displaying 9549 results

Topic

Senate committee approves SEC nominees Peirce, Crenshaw

The pair now head to the Senate floor for a confirmation vote

Topic

Retirement worries keep rising: Reports

There will be long-term financial fallout for some workers, and plan sponsors and advisers should be talking with them

Topic

SEC proposes increasing transparency of mutual fund, ETF reports

Regulation would require ‘concise, visually engaging’ shareholder reports that help investors understand fees, risks and performance

Topic

Secure Act’s pooled employer plans a dramatic change for 401(k)s

The COVID-19 crisis will make some employers more open to PEPs, but the recent hit to the economy could mean slow uptake for those plans

Topic

Trade association pushes retirement savings provisions for next COVID relief bill

The Insured Retirement Institute calls for raising RMD age, allowing catch-up retirement contributions

Topic

Princeton settles DC lawsuit for $5.8 million

Plaintiffs in the class-action case alleged the school's retirement plans had high fees and poorly performing, restrictive investment options

Topic

House approves funding bill with provision to kill SEC’s private markets proposal

Advocates for alternative investments oppose the provision, which is not likely to survive in the Senate

Topic

Brokerage, insurance firms raise concerns about DOL advice proposal

The rewrite of the vacated Obama fiduciary rule also draws criticism from investor advocates

Topic

DOL’s ESG proposal gets over 1,500 responses

Many comment letters voiced opposition to the rule, stating that the proposed restrictions within 401(k)s would hurt investors and could lead to more lawsuits

Topic

Finra eases rules on expensing meals amid pandemic

Firms can classify meals as entertainment costs even if the get-together is happening online

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