SEC Fiduciary Duty

While advisers must demonstrate a duty of care and loyalty and seek best execution on behalf of their clients, RIAs can carve their fiduciary duty ...

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 complaint alleged that Aquino persuaded at least seven customers to maintain securities trading accounts with him at the firm and assured them that ...

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 ...

For decades, the SEC has ridden the sword’s edge when it comes to balancing the oversight of two very different investment professionals – investment advisers ...

This is the SEC final rule creating the obligation to create and share a Form CRS with retail clients

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 ...

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 ...