The DOL states its proposed definition of a fiduciary under ERISA is "generally consistent with the best interest obligations set forth in the” SEC’s 2019 ...
It seems the industry’s questions about Form ADV must have been building up at the SEC for some time, as the agency has now released ...
Here are RCW's most popular stories for the month
It looks like the DOL is poised to release its new retirement security rule proposal any day now
Two months ago, RCW revealed that the SEC’s Division of Examinations has launched a sweep exam related to advisers’ use of artificial intelligence—but we weren’t ...
The SEC’s pace of rulemaking in the last two years will challenge firms and CCOs, even as the Commission should lay out a “framework” to ...
Disclosure anchors the advisory regulatory regime but a key phrase clings to it that some consider vague and potentially troublesome: “informed consent”
Hill hearing was to delve into SEC Chairman Gary Gensler's approach to rulemaking, which has sparked 'significant concerns'
While consumer groups applauds the SEC's plan AI rule, the industry overwhelmingly pans it
The firm contemplated a plan to respond to a criminal escaping from a nearby hospital who then threatened the public. Six months later, “that actual ...