SEC Fiduciary Duty

The rollercoaster ride that has been the Labor Department’s fiduciary duty rule has taken another sharp turn. But hang on

SEC Chairman Jay Clayton invited comments on what his agency should do regarding a uniform fiduciary duty standard and the industry has responded in waves ...

Top officials at SIFMA are increasingly confident that the SEC will develop its own fiduciary rule proposal that will not conflict with the Department of ...

Staff at the SEC expect to be working through the holidays on a fiduciary duty standard for both investment advisers and broker-dealers, signaling that you ...

One week after SEC Chairman Jay Clayton seemed tepid about moving on a fiduciary duty standard (IA Watch, Sept. 28, 2017), he told another group ...

Dissect the words SEC Chairman Jay Clayton told Congress Sept. 26 and you find no pledge to adopt a uniform fiduciary duty standard – four ...

There is a lot of work to do, and this issue is complex. That should not deter us, and we are moving forward. ...

Once again you’re being asked to share your comments about standards for financial professionals, but it’s not by the SEC this time (IA Watch, June ...

As public comments slowed in response to SEC Chairman Jay Clayton’s recent invitation concerning “standards of conduct” for advisers and B-Ds, the Investment Adviser Association ...

It could be the industry’s version of Family Feud – and it’s only beginning.   SEC Chairman Jay Clayton’s call for comments about whether the ...