SEC Fiduciary Duty

It may have been decades in the making but it took SEC commissioners only two hours April 18 to submit their proposed stance on fiduciary ...

The proposal for Reg BI

; Request for Comment on Enhancing Investment Adviser Regulation

Mark your calendar for next Wednesday. That’s when SEC commissioners plan to consider proposals finally revealing the agency’s stance on “a standard of conduct for ...

The rollercoaster ride that has been the Labor Department’s fiduciary duty rule has taken another sharp turn. But hang on

SEC Chairman Jay Clayton invited comments on what his agency should do regarding a uniform fiduciary duty standard and the industry has responded in waves ...

Top officials at SIFMA are increasingly confident that the SEC will develop its own fiduciary rule proposal that will not conflict with the Department of ...

Staff at the SEC expect to be working through the holidays on a fiduciary duty standard for both investment advisers and broker-dealers, signaling that you ...

One week after SEC Chairman Jay Clayton seemed tepid about moving on a fiduciary duty standard (IA Watch, Sept. 28, 2017), he told another group ...

Dissect the words SEC Chairman Jay Clayton told Congress Sept. 26 and you find no pledge to adopt a uniform fiduciary duty standard – four ...