On April 18, 2018, the U.S. Securities and Exchange Commission (SEC) voted 4-1 to propose a package of rules and interpretations (Proposals) intended to improve the retail investor experience and to provide greater clarity...more
4/20/2018
/ 401k ,
Best Interest Standard ,
Broker-Dealer ,
Comment Period ,
Conflicts of Interest ,
Department of Labor (DOL) ,
Disclosure Requirements ,
EDGAR ,
Fiduciary Duty ,
Fiduciary Rule ,
Financial Industry Regulatory Authority (FINRA) ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Proposed Regulation ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Standard of Care
The Financial Stability Board (FSB), an international body established by the G-20 in response to the 2008 financial crisis, on June 22, 2016 released its third Consultative Document relating to the regulation and oversight...more