SEC Fiduciary Duty

Broker-dealers have one year to ready for the major changes many will have to make to comply with the SEC’s new Reg BI after the ...

It may have surprised you to see that SEC commissioners added a 4th element to their scheduled June 5 meeting when they’ll take up their ...

The revelation appears as the SEC is due to move on its fiduciary duty proposals

Wednesday, June 5 is the date the SEC has set for the Commission to take up its proposed Reg BI, Form CRS, an IA “standard ...

Wade through an academic’s mumbo jumbo and new research leans toward saying investors sold annuities benefited when broker-dealers faced a fiduciary duty standard.   Vivek ...

The Kentucky Court of Appeals ruled April 23 that public pension plan members lack standing to bring their lawsuit against KKR, Blackstone Alternative Asset Management ...

Completing the Commission’s standards of conduct rulemaking remains “a top priority” for SEC Chairman Jay Clayton. In an address April 8 at the annual SEC ...

After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities comprising its ...

It’s a sign of the industry’s ongoing struggle over the B-D commissions-based model vs. the fee-based IA approach that a 40-month jail term for a ...

Nevada has rolled the dice by proposing its own fiduciary duty rule last month. You have until March to share your comments about the proposal. ...