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SEC Fiduciary Duty (57)
Your search for SEC Fiduciary Duty returned 57 results.
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3/21/2019 | Content area: Investment Adviser
After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities co...
2/21/2019 | Content area: Investment Adviser
It’s a sign of the industry’s ongoing struggle over the B-D commissions-based model vs. the fee-based IA approach that a 40-month jail term for a form...
1/31/2019 | Content area: Investment Adviser
Nevada has rolled the dice by proposing its own fiduciary duty rule last month. You have until March to share your comments about the proposal.   The ...
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...
1/10/2019 | Content area: Investment Adviser
New Jersey became the latest state to consider its own fiduciary duty standard last year. IA Watch has obtained the 61 comments sent to the state in r...
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...
12/11/2018 | Content area: Investment Adviser
This is a code of the board's revised code that takes effect in October 2019.
12/06/2018 | Content area: Investment Adviser
If a legal action were a prize fight, the advisers would have lost in a knockout. A Kentucky judge has dismissed all claims by a group of major advise...
12/06/2018 | Content area: Investment Adviser
The near-term agenda for completion in 2019 is now publicly available.[22] Continuing with the themes of transparency, accountability and clarity of m...
11/12/2018 | Content area: Investment Adviser
The SEC’s Office of the Investor Advocate engaged the RAND Corporation to conduct a nationwide survey and qualitative interviews of investors to gathe...
11/09/2018 | Content area: Investment Adviser
When does a fiduciary become a fiduciary? That question is at the essence of a lawsuit in Kentucky that could be thrown out before it gets anywhere or...
11/08/2018 | Content area: Investment Adviser
Broker-dealers and investment advisers are different, and their compensation models are different. One investor may find the services and fees of a b...
10/18/2018 | Content area: Investment Adviser
Agreement over a uniform fiduciary duty standard is as rare as snow in October but one consensus seems to be that the industry has adopted new steps t...
10/18/2018 | Content area: Investment Adviser
Query Webster’s and you find a “fiduciary” defined as “one who acts ... in a fiduciary capacity.”   The adjective offers more help: “involving a confi...
10/18/2018 | Content area: Investment Adviser
While there’s not an official rule proposal yet, New Jersey Oct. 15 announced a comment period (ending Dec. 14th) for a possible fiduciary duty standa...
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 ...
10/16/2018 | Content area: Investment Adviser
Most investors assume that someone who is giving them advice has to put the investor’s interests first. This is, after all, what they are paying for. ...
10/11/2018 | Content area: Investment Adviser
The SEC has made no secret of its intent to focus on “Main Street investors.” The agency’s new Strategic Plan for 2018-2022 is the latest place where ...
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 ...
8/16/2018 | Content area: Investment Adviser
As SEC commissioners consider what to do next about their fiduciary duty proposals, supporters for a best interest standard may have a new poster boy....


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