8 Top Concerns of SEC Investor Advocate
Millennials, fiduciary duty and retirement readiness are on the investor advocate’s policy agenda for fiscal year 2016.
SEC’s New Investor Advocate Says He Has Broad Authority
A "big part" of the job will involve policy, said advocate Rick Fleming. Meanwhile, an investor advisory subcommittee proposed SEC crowdfunding guidelines.
SEC Gets 26% Funding Boost Under Obama’s 2015 Budget
Chief White praised the plan, but IAA's David Tittsworth said coming midterm election make the budget “even more irrelevant than in most other years.”
New SEC Committee to Put Retail Investors First
“Many individual investors feel like they are under siege,” SEC Commissioner Luis Aguilar said at the group's first meeting.
CFA Dodd-Frank Report: Law's Fate 'Hangs in the Balance'
The CFA released a Dodd-Frank progress report on Wednesday warning that further progress in implementing the law is threatened, in part, by congressional efforts to defund regulators.
Dodd-Frank Is Providing Meaningful, Tangible Benefits to Investors
At the one-year anniversary of Dodd-Frank, my message to Congress is clear: Don't weaken the law's critical investor protections.