Browsing Tag
Reg BI
48 posts
Reg BI Bedlam: House Denies SEC Enforcement Funding
A last-minute amendment from Rep. Maxine Waters, D-California, attached to a routine appropriations bill, passed the full House…
Maxine Waters Blocks SEC Reg BI Funding
An 11th-hour procedural maneuver from Rep. Maxine Waters, D-California, seeks to prevent the Securities and Exchange Commission from…
Concerned About Reg BI? Here’s Marcia Wagner’s Breakdown for Broker-Dealers
The SEC, by a 3-1 party-line vote, issued in a timely fashion its final regulations with respect to…
SEC Votes to Adopt Controversial ‘Reg BI’
The Securities and Exchange Commission voted on Wednesday to adopt Regulation Best Interest, its high-profile and controversial “package…
Date Set for SEC Regulation Best Interest Vote
The Securities and Exchange Commission has set June 5, 2019, as the date it will vote on “Regulation…
What’s Happening With SEC’s Reg BI? Fred Reish
The DOL, harmonization, when the rule will happen—lots of questions that Fred Reish answers at Fi360’s annual conference.
N.J. Proposes ‘Tougher than Reg BI’ Fiduciary Standard
New Jersey’s Bureau of Securities followed through on stated intentions to create a uniform fiduciary standard for broker-dealers…
Fiduciary Advocates Rip Reg BI in Congressional Testimony
Barbara Roper isn’t happy with certain members of Congress. “Had to laugh when House Republicans used today’s hearing…