SEC staff to issue two “Risk Alerts” for further guidance.
The SEC is making financial information simpler. But it’s not yet simple enough.
The proposed Massachusetts Adviser Straight Talk Disclosure is a simple, direct and commonsense approach to informing adviser clients of key information. It can increase investor comprehension of fees and services.
By Knut A. Rostad and Darren M. Fogarty
MiFID II’s standard raises the transparency bar well above the U.S. SEC’s proposed Regulation BI and Form CRS.
By Knut A. Rostad and Darren M. Fogarty — Investors misunderstand how brokers and advisers differ because the information they get from the industry is unclear or misleading.
Testimony of Tamar Frankel, LL.M. S.J.D. Professor of Law EmeritaBoston University School of LawBefore the N.J. Bureau of Securities Re: Fiduciary Duty/Pre-Proposal on November 19, 2018