On June 5, 2019, the Securities and Exchange Commission (“SEC”) voted to adopt “Regulation Best Interest,” which is intended to increase the duties a broker-dealer owes to its clients. While SEC-registered investment advisors...more
6/7/2019
/ Best Interest Standard ,
Broker-Dealer ,
Conflicts of Interest ,
Employee Benefits ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Individual Retirement Account (IRA) ,
New Rules ,
Registered Investment Advisors ,
Regulatory Standards ,
Retirement Plan ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Suitability Rule