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
Firms permitting the creation and operation of custodial accounts related to Uniform Transfers to Minors Act (UTMA) or Uniform Gifts to Minors Act (UGMA) transactions must take special notice of Financial Industry Regulatory...more
2/13/2020
/ Beneficiaries ,
Citigroup ,
Compliance Management Systems ,
Covered Transactions ,
Custodians ,
Failure to Comply ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Management ,
JPMorgan Chase ,
Know Your Customers ,
Merrill Lynch ,
Minors ,
Morgan Stanley ,
Negligent Supervision ,
Regulatory Standards ,
Transfer of Assets ,
Trusts ,
UGMA ,
UTMA