Duties of Care and Loyalty Coming to Investments Near You
6/28/19
By: Matthew Jones
The approval of Regulation Best Interest by the Securities and Exchange Commission last month continues to spark debate and controversy, and the future of the Rule remains uncertain. The Rule’s implementation was set for June 30, 2020. …
SEC Fiduciary Rules Proceeds on Split Vote
4/19/18
By: Theodore C. Peters
The Securities and Exchange Commission (“SEC”) conducted a public hearing on April 18, 2018 to address a series of SEC proposals governing securities professionals. Recall that the Department of Labor previously sought to promulgate a “fiduciary …