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
SEC Issues Form CRS FAQs on Disciplinary History Disclosures
On October 8, the SEC issued new Form CRS FAQs regarding disciplinary history disclosure requirements. As of June 30th, investment advisers and broker-dealers have been required to file and deliver...
October 09, 2020
Tags: Disciplinary History, Form CRS
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
Tags: Disciplinary History, Form CRS, Reg BI, Retail Clients
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review
Three days after announcing his intent to conclude his tenure as SEC Chairman at the end of the year, Jay Clayton returned to the venue of his first speech as...
November 24, 2020
Tags: Accredited Investor, Form CRS, Jay Clayton