SEC Committee Focuses on Fiduciary
The SEC’s Investor Advisory Committee discussed fiduciary standards under SEC rules, ERISA, and state laws.
September 20, 2024
IAA Opposes SEC Predictive Data Analytics Proposal
The IAA submitted a comment letter to the SEC requesting that the agency withdraw its proposed rules regarding potential conflicts of interest associated with the use of predictive data analytics and other technologies by advisers in investor interactions.
October 10, 2023
Massachusetts Supreme Judicial Court Upholds Fiduciary Duty Rule for Broker-Dealers
The regulation, challenged by Robinhood, requires broker-dealers to act as fiduciaries when providing investment advice to clients.
August 30, 2023
SEC Proposes Rules on Advisers’ Use of Technology
On Wednesday, the SEC proposed rules addressing conflicts of interest associated with the use of predictive data analytics by advisers and broker-dealers in investor interactions.
July 27, 2023
Adviser Charged in Connection with Leveraged ETFs
The SEC has charged an adviser and part-owner with breach of duty of care in connection with use of leveraged ETFs.
May 19, 2023
SEC Staff Issues Bulletin on Duty of Care
A new SEC staff bulletin reiterates standards of conduct for investment advisers and broker-dealers when providing investment advice and recommendations to retail investors.
April 21, 2023
SEC’s Gary Gensler and IAA’s Karen Barr Debate SEC Agenda for Advisers
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October 19, 2022
SEC Staff Issues Bulletin Regarding Adviser and Broker-Dealer Conflicts of Interest
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August 04, 2022
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