Tag: Fiduciary Duty
SEC Staff Bulletin Discusses Account Type and Rollover Recommendations
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.
April 14, 2022
Tags: Advisers Act, Fiduciary Duty, Reg BI, SEC
Massachusetts Court Invalidates State’s Fiduciary Duty Rule
Massachusetts court declares the Massachusetts fiduciary duty rule invalid.
April 06, 2022
Tags: Fiduciary Duty, Massachusetts, Reg BI, SEC, State Laws
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