SEC, FINRA Share Initial Form CRS, Reg BI Observations in Virtual Roundtable
The SEC and FINRA held a virtual roundtable on October 26 to discuss initial observations on compliance with Regulation Best Interest (Reg BI) and Form CRS. Reg BI and Form...
October 28, 2020
New Reg BI FAQs Focus on Use of “Adviser” and “Advisor,” Dual-Hatted Employees
SEC staff issued several new FAQs on August 4 on the application of Regulation Best Interest (Reg BI) to dual registrants and dual-hatted employees that may be of interest to...
August 11, 2020
Regulation Best Interest – and Form CRS – Are Here to Stay: Court of Appeals Rejects Challenges to New SEC Rule for Broker-Dealers June 29, 2020 The Court of...
June 29, 2020
Clayton Urges Increased Care for Retail Investors in Wake of Pandemic
Clayton Urges Increased Care for Retail Investors in Wake of Pandemic Also Confirms June 30 Reg BI, Form CRS Compliance Date June 18, 2020 Jay Clayton Saying the effects...
June 18, 2020
New SEC Risk Alerts Detail Scope, Content of Compliance Exams for Form CRS, Reg BI
New SEC Risk Alerts Detail Scope, Content of Compliance Exams for Form CRS, Reg BI April 7, 2020 The SEC examination staff has issued a Risk Alert providing the...
April 07, 2020
SEC Says No to Extending Form CRS, Reg BI Deadlines
SEC Says No to Extending Form CRS, Reg BI Deadlines IAA Expresses Disappointment on Form CRS Updated April 7, 2020 The SEC has declined to extend the filing and delivery...
April 07, 2020
Takeaways for Advisers from SEC FAQs on Regulation Best Interest
Takeaways for Advisers from SEC FAQs on Regulation Best Interest January 16, 2020 The SEC staff in the Division of Trading and Markets has issued its first round of...
January 16, 2020
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