SEC Fiduciary Duty

The new report provides “hallmarks” of effective compliance programs detected by the agency over the years

Disclosing conflicts lies at the heart of Reg BI and Form CRS

A “recommendation is always going to be viewed in hindsight, and it’s a very loose term”

Don't bet on a delay in Reg BI

Lauri London, counsel at Cohen & Buckmann, pens her analysis of the SEC's IA fiduciary duty interpretation and whether the interpretation plows new legal ground.

If you were among those who predicted the SEC’s fiduciary duty rulemaking would prompt a legal action, count yourself correct. Attorneys general from seven states ...

A lawsuit filed Aug. 29 in federal court claims an adviser breached its fiduciary duty obligations by placing clients in higher fee mutual fund share ...

SEC Charges Investment Adviser with Defrauding Its Advisory Clients Litigation Release No. 24581 / August 29, 2019 Securities and Exchange Commission v. Cetera Advisors, LLC, ...

In rule document 2019–12164, appearing on pages 33318 through 33492, in the issue of Friday, July 12, 2019 make the following corrections: 1. On page ...

A New York assemblyman is preparing legislation that will bring the ongoing battle over whether broker-dealers owe a fiduciary duty to their clients to the ...