Tag: Regulation Best Interest

A Conversation with the SEC at PANC 2022

Experienced retirement plan advisers know the Securities and Exchange Commission is a critical regulator for their industry. In September, we’ll sit down with the SEC for a discussion about the Commission's many concurrent priorities.

An SEC Update: Marketing Rule Implementation and Reg BI Enforcement

One expert attorney says the SEC’s recent charges against a brokerage firm demonstrate the potency of Regulation Best Interest’s ‘compliance obligation,’ and he warns that registered advisers must prepare now for active enforcement of the newly updated marketing rules.

New Fiduciary Rule Ahead

The main theme of the DOL’s new rule proposal is in alignment with other regulators—the SEC and FINRA in particular—but the agency is not surrendering its jurisdiction over tax-qualified retirement plans.

Regulation Best Interest Arrives

On June 30, the Securities and Exchange Commission’s ‘Reg BI’ goes into effect to enhance the transparency and quality of adviser/investor relationships.

FINRA Wants to Help You With Reg BI Compliance

As the enforcement date approaches for the sweeping Regulation Best Interest rulemaking package, FINRA is working hand-in-hand with the SEC to ensure effective coordination—and to support advisers working on associated compliance challenges.