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SEC: Rulemaking

For the lone dissenter at last week’s SEC open meeting considering the fiduciary duty proposals the issue was simple—in his mind the rules didn’t require ...
Although there are similarities between the two standards that investment advisers and broker-dealers must live under – each must put their client’s interest ahead of ...
The Commission is adopting an amendment to an exemptive provision in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (“Exchange Act”). ...
This is the SEC's 2019 release providing guidance on its view of an adviser's fiduciary duty obligation
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 ...
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 ...
Succinct, clear and concise, and Plain-English aren’t usually the buzz words affixed to SEC disclosures but those are among the goals for the Form CRS ...
The SEC’s approval by a 3-1 vote of the issuance of an interpretation of the “solely incidental” prong of the broker-dealer exclusion under the Advisers ...
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 ...
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