‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSIFMA Statement on the SEC’s Final Regulation Best Interest Rule
“As written, the SEC’s Regulation Best Interest rule will impose a materially heightened standard of conduct for broker-dealers when serving retail clients. While principles-based, the rule is specific with respect to the duty and obligations brokers owe to their clients, and what steps they must take to comply, including the obligation to eliminate, or disclose […]
Wall Street Trade Group Names New Leader – NYTimes.com
A financial industry trade group, the Securities Industry and Financial Markets Association, has named Kenneth E. Bentsen, Jr., its president, as chief executive. via Wall Street Trade Group Names New Leader – NYTimes.com