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Instant Insights / SEC’s Regulation Best Interest

The SEC’s Reg BI aims to stop commission-based brokers from putting their interests ahead of their clients’. The controversial regulation for brokers is part of the SEC’s four-pronged advice standards package.

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A Timeline of the Contentious Fiduciary Rules

The SEC’s Regulation Best Interest was born out of a years-long struggle to regulate brokers as fiduciaries.

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Melanie Waddell

Melanie is Washington Bureau Chief, Investment Advisory Group. She also covers regulatory and compliance issues and writes The Playing Field column and Human Capital briefing. Reach her at mwaddell@alm.com. On twitter: @Think_MelanieW

Chris Nicholls

Janet Levaux

Janet Levaux, MA/MBA, is Editor in Chief of Investment Advisor magazine; she has covered the financial markets since 1991 and advisors since 2005. After living in Latin America and Europe as part of her studies at Yale and Johns Hopkins SAIS, Janet worked in Japan and then California, where she earned a business degree, before returning to her hometown of San Antonio, Texas (which turned 300 in 2018).

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