In the Margins

Confused about the SEC's conflicts rule? You're not alone

May 2, 2018

By InvestmentNews

Broker-dealers and investment advisers have had two weeks to dissect the Securities and Exchange Commission's proposed overhaul of investment advice standards, and some big questions have begun to emerge. Indeed, there's plenty of confusion around the contents of the agency's proposal. Read the original story from InvestmentNews.

 

 

Most Read

10 Things
10 Things...on the regulatory agenda

The Securities and Exchange Commission has been accused of "over-regulation" in recent years as it has proposed and finalized dozens of rules in a relatively short ...

10 Things
10 Things...to read in summer 2024

It's the Summer Solstice, and that means that for most of us the sun is shining, temperatures are heating up, and longer days allow for pursuits ...