Office of Investor Advocate Presents Policy Objectives
The SEC’s Office of the Investor Advocate has published its policy objectives for the 2024 fiscal year.
August 03, 2023
SEC Examination Division Weighs in on Digital Investment Advice
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April 28, 2022
SEC Finds Wide Range of Compliance Issues in Digital Adviser Exams
A new Risk Alert outlines compliance deficiencies SEC examiners discovered in an initiative focused on digital advisers. The exams looked at how firms were upholding their fiduciary duty to provide clear and adequate disclosure, among other things.
November 12, 2021
Urges Agency to Extend Comment Period Given Breadth of Request The IAA has submitted a comment letter to the SEC in response to the agency’s August 27th Request for Information...
October 12, 2021
SEC Requests Comment on Adviser Digital Engagement Practices
The SEC is requesting information and public comment on the use of digital engagement practices by broker-dealers and investment advisers, including behavioral prompts, differential marketing, gamification, and other design elements...
September 03, 2021
IAA Comments on DOL’s Proposed Fiduciary Exemption
IAA Comments on DOL’s Proposed Fiduciary Exemption August 10, 2020 The IAA has submitted a comment letter to the Department of Labor on that agency’s proposed fiduciary exemption. The...
August 10, 2020
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