On June 5, 2019, the Securities and Exchange Commission (the “SEC”) adopted a series of new rules and interpretations designed to enhance the protection of retail investors and to improve the quality ...

Financial services regulation doesn’t lack for the occasional drama. In early June the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (“Reg BI”), the Form CRS Relationship ...

On April 7, 2020, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced that, after the initial June 30, 2020 compliance date to file Form ...

Investment advisers registered with the Securities and Exchange Commission are scrambling to put together a client relationship summary required by the agency’s investment advice reform rules that go ...

While state-registered advisors and firms—generally those with under $100 million in AUM—are not required by the SEC to complete a Form CRS, Oklahoma and Rhode Island have gone against the grain.

Investopedia contributors come from a range of backgrounds, and over 25 years there have been thousands of expert writers and editors who have contributed. Marguerita is a Certified Financial Planner ...

The SEC tackles this question and others in a new FAQ publication about the Regulation Best Interest rulemaking package, as does Morningstar in a new paper that examines the regulation’s impact on ...

U.S. News Financial Connect, Inc. (“USNFC,” “we,” or “us”) is registered with the Securities and Exchange Commission (“SEC”) as an investment adviser. Brokerage and investment advisory services and ...