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SEC Proposes Interpretation of Standard of Conduct for Investment Advisers

USA - June 14 2018 This LawFlash describes the key questions raised by the US Securities and Exchange Commission's new proposed interpretation of the standard of conduct...

Brian J. Baltz, Christine M. Lombardo, Eric L. Perelman, Steven W. Stone, Lindsay B. Jackson.


SEC Proposes Rules of the Road for Brokers Giving Advice to Retail Investors

USA - May 15 2018 This LawFlash analyzes the key aspects and questions raised by proposed Regulation Best Interest, including its impact on broker-dealers from...

Brian J. Baltz, Kyle D. Whitehead, Steven W. Stone, Lindsay B. Jackson.


SEC Proposes Standards of Conduct for Broker-Dealers, Investment Advisers

USA - April 20 2018 In a first step toward developing standards for advice to retail customers, the Securities and Exchange Commission recently proposed rules and...

Brian J. Baltz, Christine M. Lombardo, Steven W. Stone.


SEC Launches Self-Reporting Initiative for Mutual Fund Share Classes

USA - February 21 2018 The US Securities and Exchange Commission's Division of Enforcement announced that it will not recommend monetary penalties against investment...

Amy J. Greer.


SEC Amendments to Form ADV and Recordkeeping Rules Go into Effect on October 1

USA - September 14 2017 The amended Form ADV, which goes into effect October 1, 2017, will require investment advisers to expand the information they report on Form ADV about...

Christine M. Lombardo, Eric L. Perelman.