Tougher standards aim to improve competition and results for customers
Best interest rules and fiduciary duties should produce similar outcomes, U.S. regulator says
Majority dismisses appeal, rejects proposed class action
The regulator's reviews uncovered deficiencies at most firms examined
The chief of the SEC's whistleblower office will depart later this month
Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct
Court finds registered account investors were charged undisclosed currency fees for 10 years
State rules follow the demise of the federal DOL standard
The new broker conduct rule waters down the protections in the Dodd-Frank Act, the states say
The reforms also feature new relationship disclosure requirements for both registered investment advisors and broker-dealers