The industry group wants review of a decision against J.P. Morgan Securities that disgorgement wasn’t covered by its insurance policy post-Kokesh
A suit launched in 2016 accused Oracle of allowing Fidelity to charge plan participants excessive fees for its administrative services
Highlights: 2020 election: Where industry donations are going Mass fiduciary rule advances amid industry pushback Watchdog criticizes SEC enforcement report processes Invesco settles 401(k) self-dealing suit Fund derivatives rule back on…
Agency wants to publish potentially sensitive product development communications between fund firms and SEC staffers
Secretary of the Commonwealth William Galvin signed off on the plan following a preliminary comment period
Industry groups have warned the Supreme Court that a ruling against Putnam could ignite a wave of additional retirement litigation
The GAO said the Division of Enforcement has used an informal process of meetings and discussions in formulating its annual reports on its activities
Officials from DIM and DTM outlined how firms ought to comply with Form CRS requirements set to go into effect next spring
The number of parallel actions filed jointly with criminal authorities by the agency increased slightly from 2018
A judge had previously dismissed the allegations, but left open the opportunity for the plaintiff to amend their complaint
