Reg BI Enforcement Actions Coming Soon, ex-FINRA Enforcement Chief Says
By Melanie WaddellA preview of Human Capital's interview with former FINRA enforcement chief Susan Schroeder.
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.
June 26, 2019
House Votes to Halt SEC Regulation Best InterestBut Waters' amendment blocking enforcement of the rule is likely a tough sell in the Senate.
June 24, 2019
Rep. Waters Seeks to Block SEC Regulation Best InterestThe House Financial Services Committee chairwoman's amendment to the financial services appropriations bill to block funding for enforcement of Reg BI was approved by the House Rules Committee late Monday.
June 21, 2019
Ron Rhoades: SEC Reg BI Is 'Greatest Securities Fraud in History'The fiduciary law expert gives ThinkAdvisor a piece of his mind on the SEC's new best-interest rule.
June 11, 2019
The Good, Bad and Ugly of SEC's Reg BI and Advice-Standards PackageThe rules have been approved. What now? Raymond James analyst Ed Mills and others weigh in.