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A host of compliance slip-ups and CCO changes feed into this enforcement action
Mutual fund share class selection/best ex case has Peirce and Uyeda claiming the SEC is "creating novel regulatory interpretations through enforcement"
Respondents violated their duty to seek best execution on behalf of their clients by placing client transactions with HSC without evaluating whether HSC’s transaction fees ...
"There is no legal authority cited in the Commission Order for the finding that mutual fund share class selection implicates an investment adviser’s duty to ...
This document comes courtesy of National Compliance Services in Delray Beach, Fla. (http://www.ncsonline.com).
Among the nearly 250 questions the SEC asks the industry in the proposal, more than once the agency touches on its potential fallout on IAs
This is the part of the SEC's proposed new Regulation Best Execution that calls for an annual review
This is a proposed rule under the SEC's Regulation Best Interest that focuses on P&Ps and other obligations
This is the SEC's proposed standard for its best execution proposed rule