Browsing Tag
Reg BI
50 posts
Reg BI Cometh! An Webinar from Fi360
After one false start followed by nearly a year of anticipation, the SEC Commissioners have finally adopted a…
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
Regulation Best Interest faces challenges as Rep. Maxine Waters moves to block SEC enforcement, sparking debate over investor protections.
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
Proposed New Jersey rule would establish a uniform fiduciary standard requiring broker-dealers and investment advisors to put investors' interests first.
Fiduciary Advocates Rip Reg BI in Congressional Testimony
Fiduciary proponents gathered in Washington before the House Subcommittee to vent their views and decry the death of the DOL's Conflict of Interest Rule.
SEC Finally Proposes Fiduciary Rule Revamp
The Securities and Exchange Commission voted to propose its own widely-watched and long-awaited version of a fiduciary standard "to better serve savers and investors."