SEC Names New Head of Philadelphia Regional Office
The SEC announced that Kelly L. Gibson has been named director of the SEC’s Philadelphia Regional Office.
March 11, 2020
Tags: SEC
SEC, CFTC Budgets Increased; SECURE Act Becomes Law
SEC, CFTC Budgets Increased; SECURE Act Becomes Law December 20, 2019 The budgets of both the SEC and CFTC will be significantly increased under the FY 2020 federal spending...
December 20, 2019
Tags: Retirement Savings, Budgets, CFTC, Inside the Beltway, Retirement Plans, SEC, SECURE Act
IM Division Director Blass Discusses Innovations and Areas of Future Focus
Dalia Blass, Director of the SEC’s Division of Investment Management, recently discussed innovations in the fund industry, modernization of regulations, and fund disclosure issues.
December 18, 2019
Tags: Bitcoin, Dalia Blass, Discosure, ETFs, SEC
Advisers Are Permitted to Use the Word “Fiduciary” in Form CRS
Advisers are permitted to use the word “fiduciary” in their disclosures, including new Form CRS, contrary to recent press reports that seem to imply otherwise.
June 20, 2019