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Regulation Best Interest (35)
Your search for Regulation Best Interest returned 35 results.
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10/10/2019 | Content area: Broker-Dealer
FINRA Oct. 8 made available resources to assist firms in complying with the SEC’s Regulation Best Interest and Form CRS by the June 30, 2020 complianc...
8/15/2019 | Content area: Investment Adviser | Broker-Dealer
The SEC Aug. 15 released a series of videos aimed at educating retail investors on the differences between investment advisers and broker-dealers in a...
8/09/2019 | Content area: Broker-Dealer
In rule document 2019–12164, appearing on pages 33318 through 33492, in the issue of Friday, July 12, 2019 make the following corrections: 1. On page ...
8/08/2019 | Content area: Broker-Dealer
A New York assemblyman is preparing legislation that will bring the ongoing battle over whether broker-dealers owe a fiduciary duty to their clients t...
7/09/2019 | Content area: Investment Adviser
Speaking before a group in Boston that included retail investors, SEC Chairman Jay Clayton July 8 vigorously defended the Commission’s actions in pass...
7/08/2019 | Content area: Investment Adviser
I want to address a general issue—whether it is appropriate to maintain a regulatory distinction between broker-dealers and investment advisers. A num...
7/05/2019 | Content area: Investment Adviser
One year after the SEC’s Investor Advocate Rick Fleming stated in his annual report to Congress on his objectives that the Commission’s three fiduciar...
6/13/2019 | Content area: Investment Adviser
Commissioner approval of rules and interpretations tied to fiduciary duty represented a “culmination of decades of work,” noted Barbara Gunn, assistan...
6/13/2019 | Content area: Broker-Dealer
Although there are similarities between the two standards that investment advisers and broker-dealers must live under – each must put their client’s i...
6/13/2019 | Content area: Investment Adviser
For the lone dissenter at last week’s SEC open meeting considering the fiduciary duty proposals the issue was simple—in his mind the rules didn’t requ...
6/05/2019 | Content area: Broker-Dealer
Broker-dealers have one year to ready for the major changes many will have to make to comply with the SEC’s new Reg BI after the Commission’s 3-1 vote...
6/05/2019 | Content area: Investment Adviser
For decades, the SEC has ridden the sword’s edge when it comes to balancing the oversight of two very different investment professionals – investment ...
6/05/2019 | Content area: Broker-Dealer
The Securities and Exchange Commission (the “Commission”) is adopting a new rule under the Securities Exchange Act of 1934 (“Exchange Act”), establish...
5/24/2019 | Content area: Investment Adviser
Wednesday, June 5 is the date the SEC has set for the Commission to take up its proposed Reg BI, Form CRS, an IA “standard of conduct” and a new item ...
1/10/2019 | Content area: Investment Adviser
Those investors who use financial professionals actually expect more from a “best interest” standard than those that don’t.   This is “one striking an...
12/13/2018 | Content area: Investment Adviser
Next year promises to be a monumental one for investment advisers and broker-dealers. The SEC has released its regulatory calendar and it states the C...
10/18/2018 | Content area: Investment Adviser
SEC Commissioner Kara Stein’s tenure is set to expire at year-end, which means she likely won’t be in office when the Commission takes up its trio of ...
10/02/2018 | Content area: Investment Adviser
As has been correctly noted, proposed Regulation Best Interest would require disclosure and at least mitigation of any material financial conflict of ...
8/09/2018 | Content area: Investment Adviser
Now that the SEC has feedback on its three fiduciary duty-related proposals, the challenge for commissioners will be to take in all of the diverging v...
7/24/2018 | Content area: Investment Adviser
The word “fiduciary” hangs heavily over any discussion about standards for financial professionals. The word carries a lot of different meanings, and...


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