The IAA submitted comments to the SEC on three major rule proposals affecting investment advisers – cybersecurity, beneficial ownership, and T+1 settlement.
SEC confirms advisers can use “fiduciary” in Form CRS, but no clear path on how, and issues
staff bulletin on how broker-dealers and advisers can satisfy their obligations to act in the best interests of investors when making account-type recommendations.
IAA Today Newsletter PDFs are available in the Resource Library.
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