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The SEC has charged Thrivent Investment Management for failing to comply with Regulation Best Interest's care and compliance obligation in connection with recommendations to retail investors in 529 Savings Plans.
October 3
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A heated hearing was preceded by letters to the House Financial Services Committee that gave muni advocates a chance to weigh in on regulatory concerns.
April 18
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The dealer group's concern is on the treatment of institutional SMMPs under the suitability standard.
June 3
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GAO says Congress should consider giving SEC penalty authority over issuers, stripping Puerto Rico's triple-tax exemption,and expanding investor protection.
May 9
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