In XY Planning Network, LLC, et al. v. SEC, et al., the United States Court of Appeals for the Second Circuit rejected a challenge to Regulation Best Interest brought by an organization of investment advisers, an individual...more
7/14/2020
/ Best Interest Standard ,
Broker-Dealer ,
Dodd-Frank ,
Fiduciary Duty ,
Investment Adviser ,
Investment Management ,
Regulation Best Interest ,
Regulation BI ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions ,
Standard of Conduct
On December 10, 2013, the Board of Governors of the Federal Reserve System, Commodity Futures Trading Commission, Federal Deposit Insurance Corporation, Office of the Comptroller of the Currency, and Securities Exchange...more
1/27/2014
/ American Bankers Association ,
Banking Sector ,
Collateralized Debt Obligations ,
Dodd-Frank ,
FDIC ,
Final Rules ,
Financial Regulatory Reform ,
Hedge Funds ,
Market Making ,
Private Equity ,
Proprietary Trading ,
Trust Preferred Securities ,
Underwriting ,
Volcker Rule