The SEC has been intense about ESG and wait-and-see on Reg BI. But investor advocates are optimistic about the “most investor-centric commission in 20 years.”
Advisor News
Crown Capital Ordered to Pay $1.6M to Settle SEC Disclosure Case
A broker-dealer has been fined by the SEC after allegedly failing to disclose its conflicts of interests.
Investor Advocates Call for Revamped Form CRS
Investor protection advocates want the Securities and Exchange Commission to revisit and revise its Form CRS.
Fiduciary Backers Seek ‘highest legal standard’ in Form CRS Disclosures
The Institute proposed a redesigned Form CRS, which provides a side-by-side comparison of advisers and brokers.
Critics, Former Regulators Press SEC To Add Fee Disclosure To Form CRS Redo
A number of former regulators and current policy experts asked the Securities and Exchange Commission today to revise Form CRS.
Fiduciary Rule’s Third Iteration Could Come with Sharp Regulatory Teeth
The Department of Labor is re-evaluating the fiduciary rule for the third time. This time, it could have teeth.
