SEC Fiduciary Duty

Several cites – including Atlanta, Denver, Houston and Miami – will soon be hosting “roundtables” featuring SEC staff and local retail investors. The idea is ...

We are proposing a new rule under the Securities Exchange Act of 1934 (“Exchange Act”) establishing a standard of conduct for broker-dealers and natural persons ...

The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing for comment a proposed interpretation of the standard of conduct for investment advisers ...

The Securities and Exchange Commission (“Commission”) is proposing new and amended rules and forms under both the Investment Advisers Act of 1940 (“Advisers Act”) and ...

Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.

Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.

Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.

Case law issued over decades defines what fiduciary duty means for investment advisers. But the SEC’s 38-page proposed interpretation would seek to make that standard ...

While the SEC’s proposed Regulation Best Interest runs hundreds of pages, you can score a quicker sense of it from the agency’s two-page summary of ...

Call it a customer relationship summary. That’s the new form that the Commission has proposed designed to help retail investors differentiate between investment advisers and ...