Tag: Reg BI
Fiduciary Advice in a New Era: A Real Relationship for the Long Term
Karen Barr IAA President & CEO On June 30, the SEC’s new standard of conduct for broker-dealers (Reg BI) and Form CRS for advisers and brokers went live, with...
July 13, 2020
Tags: Columns, DOL, Fiduciary, Form CRS, From the President & CEO, Karen Barr, Reg BI
An Adviser’s Fiduciary Duty: How the Landscape Has Changed and What to Do About It
Lorna A. Schnase Attorney at Law An adviser’s fiduciary duty might not look much different today than it did a year ago, viewed strictly from the standpoint of the...
July 10, 2020
Tags: Columns, Compliance Corner, Fiduciary, Form CRS, Reg BI
The Court of Appeals for the Second Circuit has denied petitions to overturn the SEC’s Regulation Best Interest (Reg BI), which adopts a new standard of conduct for broker-dealers when...
June 29, 2020
Clayton Urges Increased Care for Retail Investors in Wake of Pandemic
Jay Clayton Saying the effects of the COVID-19 pandemic “weigh substantially in favor of implementing Reg BI and Form CRS requirements as soon as practicable,” SEC Chairman Jay Clayton...
June 18, 2020
Tags: CARES Act, Coronavirus, COVID-19, Form CRS, IRAs, Jay Clayton, Reg BI, Retirement Plans
New SEC Risk Alerts Detail Scope, Content of Compliance Exams for Form CRS, Reg BI
The SEC examination staff has issued a Risk Alert providing the expected scope and content of initial examinations for compliance with Form CRS. The SEC staff also published a similar...
April 07, 2020
SEC Says No to Extending Form CRS, Reg BI Deadlines
The SEC has declined to extend the filing and delivery deadlines for the new Form CRS and the implementation date for new Regulation Best Interest. In an April 2 statement, Chairman Jay...
April 07, 2020
Tags: Coronavirus, COVID-19, Form CRS, Reg BI
SEC Responds to Petitioners Challenging Regulation Best Interest
The SEC is asking the Court of Appeals for the Second Circuit to dismiss two consolidated lawsuits challenging the SEC’s Regulation Best Interest, the new standard of conduct for broker-dealers...
March 04, 2020
Tags: Litigation, Reg BI
Takeaways for Advisers from SEC FAQs on Regulation Best Interest
The SEC staff in the Division of Trading and Markets has issued its first round of frequently asked questions (FAQs) on Regulation Best Interest for broker-dealers. The FAQs address questions...
January 16, 2020
Tags: Conflicts of Interest, Form CRS, Reg BI
2020 Policy Outlook: Looking Ahead Requires Looking Back
Karen Barr IAA President & CEO The IAA is proud to have advanced the interests of the investment adviser community in 2019 – with the strong support and involvement...
January 01, 2020
Tags: Privacy, Columns, Form CRS, From the President & CEO, Karen Barr, Proxy, Proxy Voting, Reg BI
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