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Jay Clayton
SEC outlines cybersecurity changes after probe of EDGAR hack
The reforms could serve as a checklist for firms looking to enhance their own cybersecurity posture in light of the regulator’s increased scrutiny.
SEC's best interest rule falls short, House Democrats warn
Lawmakers praise the spirit of the rule, but want to see a true uniform fiduciary standard.
Pershing's Tibergien praises guidelines on use of ‘advisor’ in SEC proposal
The CEO of Pershing Advisor Solutions sees an opportunity for RIAs in the potential restrictions on a term that has stoked criticism.
Why 'fiduciary' was left out of the SEC proposal
Investment advisors and broker dealers have different “relationship models” with clients, the chairman says.
With 17,000 RIAs in flux, state regulators issue exam guidance
NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.
Fiduciary rule critic Piwowar to leave SEC
The departure might slow SEC Chairman Jay Clayton’s progress on creating stricter standards of conduct for brokers and advisors.
Confused by the SEC's proposed advice rule? Your questions answered
The regulator's proposal is set to remake compliance standards for brokers and advisors.
Voices
Veres: Winners and losers from SEC advice rule
Bob Veres
Columnist
It appears the regulator bought into the investor choice argument of sales reps right from the beginning.
Voices
Why the SEC proposal is a victory for clients
John Taft
Vice Chairman
Baird
New rules recognize the fact that commission-based transaction services can be the most cost effective way for Main Street investors to receive financial advice.
SEC proposal sparks battle on advisor titles, upends fiduciary debate
New rules would set standards of conduct for brokers, require new disclosures and offer interpretive guidance for fiduciary advisors.
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