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Retirement Industry Calls On SEC to Withdraw Proposal on AI, Conflicts of Interest

The proposal would limit the availability of educational and retirement readiness tools for participants, commenters say.

SEC Rule Cracks Down on Misleading ESG, Growth Fund Labels

The SEC voted on Wednesday to impose the most sweeping overhaul for fund-labeling regulations in more than two decades.

Remarks At The Meeting Of SEC Small Business Capital Formation Advisory Committee, SEC Commissioner Hester M. Peirce, Washington D.C., Sept. 19, 2023

Investment Adviser Association pushes SEC to calibrate regulations for small advisors

An organization representing advisors is pushing the SEC to calibrate its regulations so they don't a burden for small firms.

IAA Asks the SEC to Redefine 'Small Advisors'

The IAA is urging the SEC to change its "small business" definition to be based on employee headcount instead of assets under management.