Amid uncertainty, SEC entrance into Fiduciary rule saga takes shape

By Joe Mont2017-11-14T11:45:00

While the Labor Department’s Fiduciary rule for investment advice remains uncertain amid lawsuits and Congressional attacks, the SEC prepares to issue its own version.

THIS IS MEMBERS-ONLY CONTENT

SINGLE MEMBERSHIP CORPORATE MEMBERSHIP

You are not logged in and do not have access to members-only content.

If you are already a registered user or a member, SIGN IN now.

Article
Senate committee considers Elad Roisman for SEC vacancy

2018-07-25T15:00:00Z By Joe Mont

Elad Roisman, a Republican nominated as an SEC commissioner, made his pitch Tuesday for the job during a nomination hearing before the Senate Banking Committee.
Article
SEC begins process of drafting its own fiduciary rule

2018-04-24T11:00:00Z By Joe Mont

With the apparent demise of the Labor Department’s fiduciary rule, the SEC has stepped in to fill the void. Will the proposed Regulation Best Interest aid investors?
Article
Court strikes down Labor Department’s fiduciary rule—what’s next?

2018-03-20T09:15:00Z By Joe Mont

The Labor Department’s regulatory soap opera is facing another cliffhanger and an appeals court opinion that vacates it. But the story is far from over.

“For tracking litigation, enforcement, and regulatory developments, Compliance Weekshould be your prime source.”

Amid uncertainty, SEC entrance into Fiduciary rule saga takes shape

THIS IS MEMBERS-ONLY CONTENT

Related articles

Senate committee considers Elad Roisman for SEC vacancy

SEC begins process of drafting its own fiduciary rule

Court strikes down Labor Department’s fiduciary rule—what’s next?

“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”