Tag: Safeguarding Rule

The same criticisms of the proposal linger, but the SEC is continuing to push ahead.

Compliance experts point to the regulator’s focus on third-party providers and its marketing rule stringency in the recent exam notice.

The proposal would require advisers to eliminate conflicts related to a wide range of computational technology.

The rule violation announcement is the second the regulator has issued in a ‘targeted’ effort, even as it seeks public...

Adviser advocacy and interest groups expressed disapproval for the SEC’s proposal, citing discretionary trading concerns and limiting annuity use.