Michael Renetzky

Michael Renetzky

Locke Lord LLP

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Regulation Best Interest: What You Need to Know to Prepare for the June 30, 2020 Compliance Date

On June 5, 2019, the Securities and Exchange Commission (the “SEC”) voted to adopt two new rules intended to protect retail investors. ...more

7/11/2019  /  Best Interest Standard , Broker-Dealer , Conflicts of Interest , Fiduciary Duty , Investment Adviser , Investment Advisers Act of 1940 , Retail Investors , Securities and Exchange Commission (SEC)

New Form CRS: What You Need to Know to Prepare For the June 30, 2020 Compliance Date

On Wednesday, June 5, 2019, the Securities and Exchange Commission (the “SEC”) voted to adopt requirements for investment advisers and broker-dealers to prepare and file a Form CRS Relationship Summary. The Form CRS...more

6/12/2019  /  Broker-Dealer , Conflicts of Interest , Form CRS , Investment Adviser , Investment Advisers Act of 1940 , Retail Investors , Securities and Exchange Commission (SEC)
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