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SEC Fiduciary Duty
Looking to identify IAs who outsource voting decisions
These SEC FAQs can help you prepare for Reg BI
Reg BI arrives June 30: “The court knows what the timeline is. It’s up to the court”
Driscoll: The risk alert will be designed to “help firms prepare for potential exams”
Regulators were emphatic: there will be no delay in Reg BI
SEC “staff reminds broker-dealers that the term ‘investment strategy’ ... is to be interpreted broadly”
Regulation Best Interest expressly applies to account recommendations including recommendations of securities account types
The new report provides “hallmarks” of effective compliance programs detected by the agency over the years
Disclosing conflicts lies at the heart of Reg BI and Form CRS
A “recommendation is always going to be viewed in hindsight, and it’s a very loose term”