The SEC is weighing several bitcoin ETF proposals and is soliciting comments on applications from Fidelity and SkyBridge Capital.
The Labor Department's new investment-advice guidance makes clear that rollover recommendations will be a major focus moving forward.
A Trump-era investment-advice exemption was allowed to take effect in February, but the DOL signaled it has more work to do on the issue.
The DOL's non-enforcement policy for two Trump-era rules is welcome news for fiduciaries, but an ESG-investing boom isn't expected just yet.
SEC Commissioner Hester M. Peirce is optimistic the agency will provide clarity on cryptocurrency assets with Gary Gensler at the helm.
The Department of Labor has unveiled three pieces of guidance related to missing participants, including a range of best practices.
The DOL has proposed a rule to narrow the ability for ERISA-governed fiduciaries to cast proxy votes, much to the ire of some stakeholders.
The Labor Department proposed a rule that would limit when ERISA-governed fiduciaries are allowed to cast proxy votes.
Four new members have been named along with Chairman Glenn Butash to serve on the Department of Labor's ERISA Advisory Council.
The SEC's Reg BI has taken effect, but in light of the pandemic, how it will be enforced remains to be seen.
Five federal agencies finalized changes that loosen restrictions on banks investing in or sponsoring hedge funds and private equity funds.
The Labor Department says that plan sponsors can include private equity strategies in investment options while complying with ERISA.
The SEC's proxy proposal has garnered serious debate as stakeholders hold out for a compromise and perhaps another comment period.
Wilmington Trust agreed to pay $80 million to 21 employee stock ownership plans for which it served as trustee to resolve multiple lawsuits.
The ERISA Advisory Council said the transfer of funds from a missing participant to state unclaimed property should be valid under ERISA.
Five federal agencies have extended the comment period for proposed changes to the Volcker rule because of the coronavirus pandemic.
The SEC's Reg BI package is nearing implementation but legal challenges persist and states may chart their own paths.
Massachusetts will soon become the first state to enact a fiduciary standard on brokers when making investment recommendations to customers.
Regulators proposed changes to the Volcker rule to loosen restrictions on banks investing in or sponsoring private equity and hedge funds.
The ERISA Advisory Council will soon weigh in on whether fiduciaries can transfer unclaimed funds to states as sponsors clamor for guidance.
How exchanges produce public consolidated equity market data may soon change, following SEC proposal on revamping the NMS governance.
Five federal financial regulatory agencies approved changes to the Volcker rule in a move to provide relief to financial institutions.
The SEC's consolidated audit trail is now on track and its proposed guidance aims to keep it that way, though some call it unnecessary.
The FDIC and another federal agency approved changes to the Volcker rule in a move that would provide relief to financial institutions.
The Securities and Exchange Commission proposed rule amendments in an effort to simplify publicly traded companies' disclosure filings.