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
Tags: IAC, Mutual Funds, Private Funds, SEC Investor Advocate
SEC Investor Advisory Committee Considers ESG, Beneficial Ownership
The SEC’s Investor Advisory Committee discussed the SEC’s ESG and beneficial ownership proposals.
September 22, 2022
Tags: Beneficial Ownership, ESG, IAC
SEC IAC Considers Digital Assets, Protection of IRA Investors
The SEC’s Investor Advisory Committee (IAC) recently held two panel discussions, one on digital assets and another on elder financial abuse.
December 10, 2021
Tags: Digital Assets, Elder Financial Abuse, IAC, IRAs
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
Tags: Custody, Digital Assets, ESG, IAC, Rick Fleming, SEC Investor Advocate
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
Tags: Caroline Crenshaw, Gary Gensler, IAC, Insider Trading, MNPI
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
Tags: Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, Hester Peirce, IAC, IPOs, IRAs, SPACs, States
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
Tags: Coronavirus, COVID-19, IAC, Proxy Voting
SEC’s IAC Discusses Self-Directed IRAs, Minority Community Investor Inclusion
The SEC’s Investor Advisory Committee (IAC) met on September 24 to discuss self-directed individual retirement accounts (IRAs) and minority community investor inclusion. Regarding self-directed IRAs, Chairman Jay Clayton in his...
October 02, 2020
Tags: Diversity & Inclusion, IAC, IRAs, Jay Clayton
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...
June 03, 2020
Tags: Form ADV, Allison Herren Lee, Disclosure, ESG, Form CRS, Hester Peirce, IAC, Jay Clayton