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Keyword: Fiduciary duty

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Best interest rules and fiduciary duties should produce similar outcomes, U.S. regulator says

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Majority dismisses appeal, rejects proposed class action

virtual regulation

The regulator's reviews uncovered deficiencies at most firms examined

Whistleblower

The chief of the SEC's whistleblower office will depart later this month

suspicious client

Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Court finds registered account investors were charged undisclosed currency fees for 10 years

suspicious client

State rules follow the demise of the federal DOL standard

professional woman meeting male advisor

The new broker conduct rule waters down the protections in the Dodd-Frank Act, the states say

Federal Hall with Washington Statue on the front, wall street, Manhattan, New York City

The reforms also feature new relationship disclosure requirements for both registered investment advisors and broker-dealers

businesspeople with digital tablet sitting in modern office

Neither product nor sales volume fell