SEC Fiduciary Duty

The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of section 202(a)(11)(C) of the Investment Advisers Act of 1940 (the ...

The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of section 202(a)(11)(C) of the Investment Advisers Act of 1940 (the ...

For decades, the SEC has ridden the sword’s edge when it comes to balancing the oversight of two very different investment professionals – investment advisers ...

This is the SEC final rule creating the obligation to create and share a Form CRS with retail clients

The Securities and Exchange Commission (the “Commission”) is adopting a new rule under the Securities Exchange Act of 1934 (“Exchange Act”), establishing a standard of ...

At the center of the commissioner disagreement at their June 5 meeting over the SEC’s investment adviser fiduciary duty proposal is whether the final version ...

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 ...

It may have surprised you to see that SEC commissioners added a 4th element to their scheduled June 5 meeting when they’ll take up their ...

The revelation appears as the SEC is due to move on its fiduciary duty proposals

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 ...