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Components of Regulation Best Interest
  • Mayer Brown LLP
  • USA
  • June 20 2018

On April 18, 2018, the Securities and Exchange Commission (SEC) introduced a package of proposals aimed at enhancing the quality and transparency of


SEC Proposes Interpretation of Standard of Conduct for Investment Advisers
  • Morgan Lewis & Bockius LLP
  • 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


Why Fiduciary Status Still Matters in a Post-Fiduciary Rule World: A Look at Prohibited Transactions And Compensation
  • Drinker Biddle & Reath LLP
  • USA
  • June 14 2018

In a previous post, we discussed why broker-dealers and their representatives will likely still be fiduciaries to ERISA plans and IRA investors in


SEC Adopts Rule Providing Modernized Delivery Option for Fund Shareholder Reports and Seeks Comments on Improving Fund Disclosure and Certain Fees of Intermediaries
  • Sullivan & Cromwell LLP
  • USA, Canada
  • June 13 2018

SEC Allows Optional “Notice and Access” Method for the Delivery of Fund Shareholder Reports and Invites Comments on Improving Fund Disclosure and on


SEC Proposed Regulation Best Interest Regarding Duties of Broker-Dealers
  • Cozen O'Connor
  • USA
  • June 11 2018

In a series of three proposed regulations with requests for comments, the U.S. Securities and Exchange Commission (SEC) seeks to enhance and clarify


FINRA Proposes to Remove “Control” as Quantitative Suitability Requirement
  • Burr & Forman LLP
  • USA
  • June 5 2018

FINRA recently proposed to remove the broker’s “control” of a securities account as a required element of a “quantitative suitability” violation under


SEC Proposes New Disclosure Requirements for Financial Professionals
  • Vedder Price PC
  • USA
  • June 4 2018

On April 18, 2018, the SEC proposed rules that would require investment advisers and broker-dealers to provide retail investors a short customer or


Regulation Best Interest Obligates Broker-Dealers, Excuses RIAs
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • May 24 2018

On May 9, 2018, the SEC released its much-anticipated proposed rule (“Regulation Best Interest”), which is intended to set the standard of conduct for


SEC Proposes Expanding Safe Harbor to Promote Research on Investment Funds
  • Mayer Brown LLP
  • USA
  • May 24 2018

On May 23, 2018, the Securities and Exchange Commission (the “Commission”) proposed establishing a research report safe harbor (Rule 139b) for


The SEC’s Fiduciary Rule Proposal Implications for Investment Advisers (Part 4)
  • Perkins Coie LLP
  • USA
  • May 21 2018

Welcome back for Part 4, the final installment in our discussion of the SEC’s April 18, 2018 fiduciary rulemaking proposal (the “Proposal”). We will