Reg BI Archives

SEC Staff Issues Bulletin on Duty of Care

A new SEC staff bulletin reiterates standards of conduct for investment advisers and broker-dealers when providing investment advice and recommendations to retail investors.

April 21, 2023

Tags: Fiduciary, Reg BI

SEC’s Gary Gensler and IAA’s Karen Barr Debate SEC Agenda for Advisers

In a conversation that touched on most of the top-of-mind regulatory issues facing advisers Karen Barr pressed Gary Gensler to recognize the important role advisers play in the lives of their clients and the unintended consequences potentially flowing from the SEC’s departure from its longstanding principles-based approach to adviser regulation.

October 19, 2022

Tags: Cybersecurity, ESG, Fiduciary, Gary Gensler, Karen Barr, Policy & Leadership Forum, Reg BI, SEC

SEC Staff Issues Bulletin Regarding Adviser and Broker-Dealer Conflicts of Interest

SEC staff Bulletin on how standards of conduct should apply in identifying and addressing conflicts of interest.

August 04, 2022

Tags: Conflicts of Interest, Fiduciary, Reg BI

SEC’s Gensler Looks to Expand, Not Rewrite, Standards of Conduct Rulemaking Package – More Guidance Coming

SEC Chair Gary Gensler has confirmed that staff guidance is forthcoming on conflicts of interest, alternative investments, and cost.

July 12, 2022

Tags: Fiduciary, Gary Gensler, Reg BI, SEC

SEC Brings First Reg BI Enforcement Case Against California Broker-Dealer and 5 Registered Representatives

This first-of-its-kind case centers around Reg BI violations in connection with recommendations and sales of L Bonds to investors with moderate risk tolerances.

June 20, 2022

Tags: Reg BI, SEC Enforcement

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

2020 Policy Outlook: Looking Ahead Requires Looking Back

2020 Policy Outlook: Looking Ahead Requires Looking Back By IAA President & CEO Karen Barr January 1, 2020 Karen BarrIAA President & CEO The IAA is proud to have advanced...

January 01, 2020

Tags: Privacy, Columns, Form CRS, From the President & CEO, Karen Barr, Proxy, Proxy Voting, Reg BI

Fiduciary Advice in a New Era: A Real Relationship for the Long Term

Fiduciary Advice in a New Era: A Real Relationship for the Long Term By IAA President & CEO Karen Barr July 13, 2020 Karen BarrIAA President & CEO On June...

July 13, 2020

Tags: Columns, DOL, Fiduciary, Form CRS, From the President & CEO, Karen Barr, Reg BI

SEC Says No to Extending Form CRS, Reg BI Deadlines

SEC Says No to Extending Form CRS, Reg BI Deadlines IAA Expresses Disappointment on Form CRS Updated April 7, 2020 The SEC has declined to extend the filing and delivery...

April 07, 2020

Tags: Coronavirus, COVID-19, Form CRS, Reg BI

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