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SEC Fiduciary Duty (90)
Your search for SEC Fiduciary Duty returned 90 results.
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9/11/2019 | Content area: Investment Adviser
If you were among those who predicted the SEC’s fiduciary duty rulemaking would prompt a legal action, count yourself correct. Attorneys general from ...
9/05/2019 | Content area: Investment Adviser
A lawsuit filed Aug. 29 in federal court claims an adviser breached its fiduciary duty obligations by placing clients in higher fee mutual fund share ...
8/29/2019 | Content area: Investment Adviser
SEC Charges Investment Adviser with Defrauding Its Advisory Clients Litigation Release No. 24581 / August 29, 2019 Securities and Exchange Commissio...
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...
7/18/2019 | Content area: Investment Adviser
As fee structures grow more complicated, so must your oversight.   Controls at many firms “are not keeping up with the complexity of fees that are bei...
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...
6/28/2019 | Content area: Private Fund
The Commission’s complaint alleged that Chiat defrauded investors in the funds, and violated his fiduciary duty as an adviser to the funds, by making ...
6/27/2019 | Content area: Broker-Dealer
SEC Charges Municipal Advisor with Breaching Fiduciary Duty Litigation Release No. 24520 /June 27, 2019 Securities and Exchange Commission v. Comer ...
6/27/2019 | Content area: Broker-Dealer
These proceedings involve a violation of the Municipal Securities Rulemaking Board’s (“MSRB”) “fair dealing” rule by Respondent in connection with a m...
6/26/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that, during the period from 2011 through 2014, Dean recommended to thirteen customers a pattern of high cost, in-a...
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: Investment Adviser
While advisers must demonstrate a duty of care and loyalty and seek best execution on behalf of their clients, RIAs can carve their fiduciary duty obl...
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: Broker-Dealer
The complaint alleged that Aquino persuaded at least seven customers to maintain securities trading accounts with him at the firm and assured them th...
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...
6/06/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of the standard of conduct for investment advis...
6/06/2019 | Content area: Investment Adviser | Broker-Dealer
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of section 202(a)(11)(C) of the Investment Advi...


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