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401k › Rulemaking Process › Securities and Exchange Commission (SEC)

Troutman Pepper Locke

Conversation with Former SEC Chief Economist Dr. Jessica Wachter on Investment Management Rulemaking at the Commission – PE...

Troutman Pepper Locke on

This episode of PE Pathways features Dr. Jessica Wachter, former chief economist and director of the Division of Economic and Risk Analysis at the Securities and Exchange Commission (SEC), now a professor in quantitative...more

Proskauer - Regulatory & Compliance

From Wall Street to Main Street: Investor Advocate Puts Private Funds on the 401(k) Horizon

Proskauer - Regulatory & Compliance on

On June 25, 2025, the SEC’s Office of the Investor Advocate (OIAD) released its annual report to Congress on its policy priorities for fiscal year 2026. The office was established by Congress to focus on retail investor...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Retirement Plan Advisors Advantage - September 2019

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

Some "Truths" About The Retirement Plan Business. You may not be able to handle it. I'm very outspoken, probably too much. Many people in the industry don't like flamethrowers who call things as they see it. While it...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

It’s legal until it’s not

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

Shelf space payments where mutual fund companies pay to get access on a particular 401(k) custodial platform is a trending topic. The payments made are for access and if you don’t pay if you’re a mutual fund company, you...more

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