Regulation Best Interest

Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.

Between the SEC's proposed Regulation Best Interest and developing state rules, advisors and brokers may have their hands full.

The No. 1 IBD plans to offer training and education and team up with reps on outreach to officials.

Former SEC economists faulted the regualtor for what they called “weak and incomplete” economic analysis.

A new consumer financial protection bill would expand duties for brokers and insurance providers.

A handful of states are pushing their own advisor regulations, potentially setting up a legal showdown.

State regulators and state legislature are stepping in to propose initiatives to protect consumers against salespeople wrapped in fiduciary clothing.

Digital tools will not only allow advisors to serve more clients, they can help advisors charge for services with greater accuracy.

From the SEC to the Supreme Court, here's what could be playing out this year.

The SEC is running on a skeleton crew that effectively halts routine oversight.

A uniform fiduciary standard is only way to ensure all advisors are putting their clients first, the Democratic senator says.

Macroeconomic trends and matters of convenience will move advisors, assets and markets next year in the ever-changing wealth management space.

The chairman looks to finalize Reg BI while issuing warnings for advisors on cybersecurity, Brexit and Libor transition.

Concerns include preparing for new SEC reporting rules and modernizing operational infrastructure.

Why new rules won’t necessarily prevent bad behavior.

The regulator's investor advisory committee approved a set of recommendations for commission to clarify "best interest" advice for advisors and brokers.

Reg BI would boost sales because the products fill a pressing need for income over long lifespans, the executives say.

Noting how retirement saving has changed, the executive says the “responsibility we have for people’s savings is awesome.”

It’s another example of how impactful an update to broker standards of conduct could be.

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.