Regulation Best Interest

The issues on the agenda today are all critically important for investors: Regulation Best Interest, gamification of trading, ESG, and the private markets

"The SEC did not follow up on indications that key aspects of the disclosures were not well-understood by investors: specifically, the distinction between a relationship ...

Beneficial owner, Reg BI, fiduciary duty on Commission's menu

RCW has obtained a copy of a recent FINRA document request letter for an exam that focused largely on Regulation Best Interest

'Deeper reviews' of Reg BI and Form CRS, examinations of CAT compliance coming

FINRA has been coordinating with the SEC to make sure exam efforts are not being duplicated

“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...

“In trying to reform the rules, the SEC actually made it worse” by adding to investor confusion

This one-page form can be used to document a client's choice of either an investment advisory or brokerage account. It comes with fillable fields. Dan ...

The SEC's Trading & Markets Division "will not recommend enforcement action to the Commission against broker-dealers that do not treat family offices that qualify as ...