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Regulatory Insights - February 2021

Your source for the latest updates from the SEC, DOL and across the industry.


Regulatory Insights provides a summary of key regulatory and legislative changes taking place across financial services. 

This issue includes updates on the following key areas:

SEC Leadership Changes

  • President Biden Nominates Gary Gensler to be the Next SEC Chairman
  • Other Recent Leadership Changes

SEC Rulemaking

  • New Streamlined Shareholder Reports and Rule 498B
  • Finalized Advisor Marketing Reforms

Regulatory Initiatives

  • DOL Issued Three Pieces of Guidance on Missing and Unresponsive Participants
  • DOL Announced the Finalization of a New PTE
  • The Office of Compliance Inspections and Examinations Renamed
  • SEC Guidance on Upcoming Regulation Best Interest Examinations

Proxy Items

  • The DOL Adopted Proxy Voting Rules for Plan Fiduciaries

Regulatory Watchlist

  • Biden Administration Issued a Freeze Memorandum on the Adoption of New Regulations
  • Potential Use of the Congressional Review Act

Download the full summary for more information.

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