On September 9, 2019, the states of New York, California, Connecticut, Delaware, Maine, New Mexico and Oregon, and the District of Columbia (collectively, the States) filed a complaint for declaratory and injunctive relief...more
9/11/2019
/ Arbitrary and Capricious ,
Broker-Dealer ,
Declaratory Relief ,
Dodd-Frank ,
Final Rules ,
Form CRS ,
Injunctive Relief ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Investors ,
Regulation Best Interest ,
Regulation BI ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Standard of Conduct ,
Statutory Authority