Oklahoma Proposes Fiduciary Rule for Investment Advisers
Most of the proposed regulations apply only to investment advisers registered or required to be registered in Oklahoma.
March 11, 2020
As advocated by the IAA, the Massachusetts Securities Division removed all references to investment advisers and investment adviser representatives from its recently-adopted fiduciary conduct standard regulations.
February 21, 2020
Tags: Fiduciary, Massachusetts, States
Massachusetts Holds Hearing on Fiduciary Proposal
Massachusetts Governor Charlie Baker called on the Securities Division to defer action on the proposal, citing a number of concerns, including that moving forward could adversely affect the availability of investment services and products in Massachusetts.
January 16, 2020
Tags: Fiduciary, Massachusetts, Preemption, States
Massachusetts Issues Fiduciary Proposal, Sets January 7 Hearing
The Massachusetts Securities Division has issued a proposed fiduciary conduct standard that would apply to broker-dealers, agents, investment advisers, and investment adviser representatives.
December 18, 2019
Tags: Fiduciary, Massachusetts, Preemption, States