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Regulatory relief applies to advisors and investment funds but the commission stresses that fiduciary obligations still apply.
March 19 -
The commission “failed to enact a meaningful conduct rule,” state regulator William Galvin says.
February 21 -
Jay Clayton talked up the commission's latest enforcement efforts and defended Reg BI before skeptical lawmakers.
December 12 -
The fact that it’s impossible to track the amount of revenue sharing kickbacks demonstrates the problem, says the research firm’s lead policy wonk.
November 18 -
CEO Dan Arnold described the firm's multipronged strategy for further growth.
October 25 -
The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.
August 5Securities Arbitration Clinic at the Law School of St. John's University -
Most clients don’t give a hoot about fiduciary and best interest standards.
July 8Mark Elzweig Co. -
Think New Jersey’s proposed rule doesn’t apply to you? Think again.
June 24 -
The SEC predictably came up with regulations that can only be described as a win for brokers.
June 24 -
The state regulator says its proposal is necessary after the commission failed to craft a uniform fiduciary standard.
June 14