SEC Committee Focuses on Fiduciary
The SEC’s Investor Advisory Committee discussed fiduciary standards under SEC rules, ERISA, and state laws.
September 20, 2024
IAA’s Barr Supports Adequate SEC Funding, Opposes SRO
Karen Barr, President & CEO of the IAA, supports adequate SEC funding and opposes SRO for advisers at the SEC’s Investor Advisory Committee meeting.
March 09, 2023
SEC’s Office of the Investor Advocate Announces Objectives for 2022
SEC’s Office of the Investor Advocate Announces Objectives for 2022 July 7, 2021 The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has laid out its policy...
July 07, 2021
SEC’s Gensler Questions Executive Stock Ownership Plans
SEC’s Gensler Questions Executive Stock Ownership Plans June 9, 2021 SEC Chair Gary Gensler Pointing to “real cracks in our insider trading regime,” SEC Chair Gary Gensler told a...
June 09, 2021
SEC’s Investor Advisory Committee Adds New Members
SEC’s Investor Advisory Committee Adds New Members December 21, 2020 The SEC’s Investor Advisory Committee (IAC) recently met to discuss corporate disclosure during COVID-19 and the implications of the...
December 21, 2020
SEC’s IAC Discusses Index Funds, ESG, Disclosures and Credit Rating Agencies
SEC’s IAC Discusses Index Funds, ESG, Disclosures and Credit Rating Agencies June 3, 2020 Discussions on index funds and credit rating agencies – and recommendations on ESG disclosure and...
June 03, 2020
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