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SEC s rule-making is moving too fast, industry leaders and commissioners say

Some industry leaders and commissioners themselves have expressed concerns about the pace of the SEC's rule-making.

United statesHesterm peirceMarkt uyedaKaren barrInvestment adviser associationAdviser compliance conferenceCommissioner mark

What the SEC is Scrutinizing in Its Marketing Rule Exams

Industry experts and SEC officials discuss what plan sponsors should know about how the regulator will consider investment performance claims.

Mark perlowThoreau bartmannDanielle nicholson smithExchange commissionInvestment adviser associationAdviser compliance conferenceNicholson smith

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