SEC Committee Focuses on Fiduciary
The SEC’s Investor Advisory Committee discussed fiduciary standards under SEC rules, ERISA, and state laws.
September 20, 2024
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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 IAC Considers Digital Assets, Protection of IRA Investors
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December 10, 2021
SEC’s Office of the Investor Advocate Announces Objectives for 2022
The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has laid out its policy agenda for protecting and promoting the interests of retail investors in its annual report to Congress on objectives for fiscal year 2022, which starts October 1, 2021.
July 07, 2021
SEC’s Gensler Questions Executive Stock Ownership Plans
SEC Chair Gary Gensler told a Chief Financial Officers forum that he’s asked SEC staff to come up with recommendations to “freshen up” the 20-year-old rule that allows corporate insiders to buy and sell company stock under formal “Rule 10b5-1 plans.”
June 09, 2021
SEC’s Investor Advisory Committee Adds New Members
The SEC’s Investor Advisory Committee recently met to discuss corporate disclosure during COVID-19 and the implications of the pandemic for the upcoming proxy season and announced new officers.
December 21, 2020
SEC’s IAC Discusses Index Funds, ESG, Disclosures and Credit Rating Agencies
Discussions on index funds and credit rating agencies – and recommendations on ESG disclosure and disclosure effectiveness more generally – dominated the May 21 meeting of the SEC’s Investor Advisory Committee (IAC).
June 03, 2020