SEC's Crenshaw Wants Investor Testing on Reg BI, Form CRS
By Melanie WaddellInvestor testing is needed to ensure the disclosure-based rules are working, said SEC's Crenshaw.
March 25, 2021
Idaho and North Dakota Adopt Annuity Sales Standards UpdatesVirginia's update is still in progress.
March 17, 2021
Reg BI Enforcement Actions Coming Soon, ex-FINRA Enforcement Chief SaysA preview of Human Capital's interview with former FINRA enforcement chief Susan Schroeder.
March 09, 2021
FINRA Looks at Reg BI in Light of GameStop FrenzyFINRA will consider whether Reg BI applies to game-like features in trading apps, CEO Robert Cook told Sen. Elizabeth Warren.
February 25, 2021
SEC Amps Up Reg BI Exams"Good-faith" compliance efforts are no longer enough, an SEC exam official warns.
February 12, 2021
Trump DOL Fiduciary Rule to Take Effect TuesdayLater this year, the department will likely "begin work on a more robust fiduciary definition," said ERISA attorney Fred Reish.
June 27, 2019
Stifel CEO Praises SEC Reg BI, Blasts House VoteThe new regulation is the most significant enhancement of broker rules since 1934, CEO Ron Kruszewski tells ThinkAdvisor.
June 27, 2019
SEC Reg BI Involves 'Massive Implementation' Process: PeirceSEC Commissioner Peirce urged broker-dealer execs Thursday to alert the agency quickly to any Reg BI compliance hurdles.