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SEC Fiduciary Duty

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 ...
Ten days after new Labor Department Secretary Alex Acosta encouraged the SEC to enter the fray over a uniform fiduciary duty standard for investment advisers ...
The initiative will dig into investment recommendations, conflicts, compliance and marketing
The investment adviser of a registered investment company shall be deemed to have a fiduciary duty with respect to the receipt of compensation for services
Happy financial advisor shaking hands with a couple after successful meeting in the office.
This is the text of the famous U.S. Supreme Court case SEC v. Capital Gains Research Bureau 375 U.S. 180 (1963). This opinion is cited ...
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