Tag: Reg BI
SEC Chair Gary Gensler Sustainable investing, proxy voting, modernization of the Custody and Pay-to-Play Rules, e-delivery, investor testing of Form CRS, appropriate regulation of smaller advisers, effective coordination with other...
May 19, 2021
Tags: Custody, Diversity & Inclusion, E-Delivery, Form CRS, Gary Gensler, Karen Barr, Pay-to-Play, Proxy, Reg BI, Sustainable Investing
An Adviser’s Fiduciary Duty: How the Landscape Has Changed and What to Do About It
An Adviser’s Fiduciary Duty: How the Landscape Has Changed and What to Do About It By Lorna A. Schnase, Attorney at Law* July 10, 2020 Lorna A. Schnase Attorney...
July 10, 2020
Tags: Columns, Compliance Corner, Fiduciary, Form CRS, Reg BI
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
Tags: Dual Registrant, Fiduciary, Reg BI
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
Tags: Conflicts of Interest, Form CRS, Reg BI
SEC Responds to Petitioners Challenging Regulation Best Interest
SEC Responds to Petitioners Challenging Regulation Best Interest Brief Questions Petitioners’ Standing, Defends Rulemaking on the Merits March 4, 2020 The SEC is asking the Court of Appeals for...
March 04, 2020
Tags: Litigation, Reg BI
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
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
Tags: CARES Act, Coronavirus, COVID-19, Form CRS, IRAs, Jay Clayton, Reg BI, Retirement Plans
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, 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
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