Courtenay Myers Lima

Courtenay Myers Lima

Latham & Watkins LLP

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Is the SEC’s Proposed “Best Interest” Standard for Broker-Dealers in Anyone’s Best Interest?

Proposal seeks to clarify and enhance obligations applicable to a broker-dealer’s retail customer interactions, but may raise more questions than answers. The Securities and Exchange Commission (SEC) proposed for public...more

5/17/2018  /  Best Interest Standard , Broker-Dealer , Conflicts of Interest , Disclosure Requirements , Fiduciary Duty , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Retail Investors , Securities and Exchange Commission (SEC) , Securities Exchange Act

Volcker Rule: An Initial Look at Significant Changes

On December 10, 2013 the US federal banking agencies, along with the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) (collectively, the Agencies), adopted the ...more

12/24/2013  /  Banks , CFTC , Dodd-Frank , Securities and Exchange Commission (SEC) , Volcker Rule
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