SEC Committee Focuses on Fiduciary
The SEC’s Investor Advisory Committee discussed fiduciary standards under SEC rules, ERISA, and state laws.
September 20, 2024
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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
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
In a conversation that touched on most of the top-of-mind regulatory issues facing advisers Karen Barr pressed Gary Gensler to recognize the important role advisers play in the lives of their clients and the unintended consequences potentially flowing from the SEC’s departure from its longstanding principles-based approach to adviser regulation.
October 19, 2022
SEC Staff Issues Bulletin Regarding Adviser and Broker-Dealer Conflicts of Interest
SEC staff Bulletin on how standards of conduct should apply in identifying and addressing conflicts of interest.
August 04, 2022
SEC Chair Gary Gensler has confirmed that staff guidance is forthcoming on conflicts of interest, alternative investments, and cost.
July 12, 2022
The ERISA Fiduciary Advice Exemption
Compliance with the DOL fiduciary advice exemption is now required if making a recommendation to roll assets out of an ERISA plan.
June 23, 2022