The U.S. Securities and Exchange Commission on April 18, 2018 published a package of proposed rules and interpretations intended to improve the retail investor experience and to provide greater clarity regarding customers’...more
7/11/2018
/ Best Interest Standard ,
Broker-Dealer ,
Comment Period ,
Conflicts of Interest ,
Disclosure Requirements ,
Due Diligence ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Investment Adviser ,
Investment Products ,
Proposed Rules ,
Regulatory Oversight ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Standard of Care
The Division of Enforcement (Division) of the U.S. Securities and Exchange Commission (SEC) on February 12, 2018, announced a Share Class Selection Disclosure Initiative (SCSD Initiative). Led by the Division’s Asset...more
3/7/2018
/ Conflicts of Interest ,
Disclosure Requirements ,
Enforcement Guidance ,
Fees ,
Fiduciary Duty ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Securities and Exchange Commission (SEC) ,
Self-Reporting ,
Share Class Selection Disclosure Initiative (SCSD) ,
Share Classes