SEC Fiduciary Duty

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. ...

Now that the SEC has feedback on its three fiduciary duty-related proposals, the challenge for commissioners will be to take in all of the diverging ...

The word “fiduciary” hangs heavily over any discussion about standards for financial professionals. The word carries a lot of different meanings, and legal context ...

Temenos Advisory, Inc. and George L. Taylor steered advisory clients and other investors, including senior citizens and individuals approaching retirement, into four risky, illiquid private ...

This spring’s release by the SEC of three fiduciary duty-related proposals (IA Watch, April 18, 2018) “encouraged” the agency’s investor advocate because the Commission was ...

At this stage, the SEC’s only asking what you think about requiring investment advisers to be licensed or to put up a bond, akin to ...

The SEC’s proposed Regulation Best Interest comes in at more than 100 pages (BD Watch, April 19, 2018) but that hasn’t stopped critics from swiftly ...

The SEC must have gotten something right with its three fiduciary duty proposals if it could both upset and please those who wish for a ...

May 9's Federal Register contains the three SEC proposals tied to fiduciary duty. Each of them carries the same deadline for your comments: Tuesday, Aug. 7 ...

The same day a federal court decision vacating the Labor Department’s fiduciary duty rule was due to take effect, the DOL released a statement continuing ...