Tag: "SEC"
ASPPA & NAIRPA Support Investor Education Efforts
Brian Graff issues a comment letter to the Securities Exchange Commission (SEC) on behalf of the National Association of Independent Retirement Plan Advisors (NAIRPA) in response to the request for comment from the U.S. Securities and Exchange Commission (SEC) existing private and public efforts to educate investors.
ASPPA & NTSAA Request Municipal Advisor Exemption
Craig Hoffman, ASPPA’s General Counsel and Director of Regulatory Affairs responds to the U.S. Securities and Exchange Commission (SEC) request for comment on Release No. 34-63576 for Registration of Municipal Advisors.
ASPPA Issues Comment on Rule 12b-2
Brian H. Graff, executive director and CEO of ASPPA and the Council of Independent Recordkeepers (CIKR) issue comments to the SEC on proposed Rule 12b-2 regarding the use of mutual fund assets to pay fees from the sale of mutual fund shares…
Changes Coming to Target Date Funds
The growth of Target Date Funds, along with concerns about changes, attracted more than 165 advisors to ASPPA’s second Advisor Webcast Series presentation on September 15. Read what Fred Reish and Michael Malone had to say on the topic.
