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SEC Seeks Public Comment on Standards of Conduct for Investment Advisers and Broker-Dealers

In a recent public statement, Securities and Exchange Commission (“SEC”) Chairman Jay Clayton announced that the SEC is moving forward with its review of the standards of conduct mandates for investment advisers and broker-dealers and he welcomes the Department of … Read More

Beyond the DOL Rule – A Look at SEC Expectations for Advisers Managing Retirement Accounts

The fate of the Department of Labor’s (“DOL”) Conflicts of Interest rule (the “DOL Rule”) is uncertain. However, regardless of whether the rule gets delayed or repealed, the Securities and Exchange Commission (“SEC”) continues to focus on the services being … Read More

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