Daily Archives: April 20, 2018, 2:52 pm

SEC Adds Fuel to the Best-Interest Fire

This is potentially a major change to how the SEC thinks about regulating the conduct of financial advisors. The rule aims to hold financial professionals to higher standards of conduct, even if they are registered as broker/dealers rather than as advisers. Although the SEC has had the authority to write these kinds of regulations since 2010, earlier efforts petered out…

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