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 Investor Advisory Committee Considers ESG, Beneficial Ownership
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September 22, 2022
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...
July 07, 2021
SEC’s Gensler Questions Executive Stock Ownership Plans
SEC Chair Gary Gensler Pointing to “real cracks in our insider trading regime,” SEC Chair Gary Gensler told a Chief Financial Officers forum on June 7 that he’s asked...
June 09, 2021
SEC IAC Focuses on Minority and Underserved Inclusion, Discusses Self-Directed IRAs, SPACs
The SEC’s Investor Advisory Committee’s (IAC’s) March meeting issued draft recommendations on minority and underserved inclusion in investment and financial services, calling on the SEC to “play an active role...
April 16, 2021
SEC’s Investor Advisory Committee Adds New Members
The SEC’s Investor Advisory Committee (IAC) recently met to discuss corporate disclosure during COVID-19 and the implications of the pandemic for the upcoming proxy season. The IAC also announced the...
December 21, 2020