It has been nearly five years since the US Securities and Exchange Commission (‘SEC’ or ‘the Commission’) adopted Regulation Best Interest (Reg BI) to enhance the standard of conduct applicable to broker-dealers when they...more
On January 2, 2025, the Securities and Exchange Commission (SEC) approved the FINRA Rule 6500 Series (the SLATE Rules), which establishes the Securities Lending and Transparency Engine (SLATE), a new facility for the...more
On June 5, 2019, the Securities and Exchange Commission (“SEC” or “Commission”) in a divided 3-1 vote, approved a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’...more
6/18/2019
/ Best Interest Standard ,
Broker-Dealer ,
Conflicts of Interest ,
Dodd-Frank ,
Fiduciary Duty ,
Final Rules ,
Financial Services Industry ,
Form ADV ,
Form CRS ,
Investment Adviser ,
Securities and Exchange Commission (SEC)