But how a Democratic-led SEC interprets and enforces Reg BI depends on its chair.
Advisor News
Deciphering ‘Best Interest’ in Reg BI
Industry officials of all stripes continue to scratch their heads about the term as they attempt to comply.
Trump v. Biden: With No Winner (Yet), Advisor Regulatory Changes in Limbo
The future of investor protection hinges largely on who wins the next Presidential election.
It’s legal to give bad financial advice. New SEC protections may not help much
CNBC profiles the impact of Reg BI on sales, advice, and investors themselves.
How a Biden Win in November Reshapes Investment Advice Rules
Democrats scraping the Trump administration’s reforms hinges on who’s picked to lead the SEC
Massachusetts Starts Enforcing Its Fiduciary Rule
Industry stakeholders are now looking to Massachusetts to see how aggressively the state enforces the rule and gain insight into how other states may follow suit.
