- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2019-06-27T19:35:00
Joining the growing discontent with the SEC’s Regulation Best Interest, Democrats in the House of Representatives have passed legislation that could starve the quasi-fiduciary standard for investment advice of funding.
2020-06-16T15:46:00Z By Kyle Brasseur
The SEC confirmed the June 30 compliance date for its Regulation Best Interest rule, in addition to sharing a handful of areas that deserve attention when making recommendations to investors in accordance with new policy.
2020-01-10T19:17:00Z By Lori Tripoli
Former Sen. Christopher Dodd and former Rep. Barney Frank, along with other current and former members of Congress, filed an amicus curiae brief siding with state attorneys general in a lawsuit seeking to have Regulation Best Interest vacated.
2019-09-11T16:59:00Z By Kyle Brasseur
Seven states and the District of Columbia have filed a lawsuit against the SEC in an effort to block the regulator’s recently approved Regulation Best Interest rule package.
2025-07-08T15:43:00Z By Oscar Gonzalez
The U.S. Department of Labor (DOL) appears to be in the process of deregulating work rules. Some of the changes proposed would result in a reduction of pay for certain health workers and allow minors to work hazardous jobs.
2025-07-07T17:15:00Z By Oscar Gonzalez
SEC Chair Paul Atkins pointed to the growth of tokenized shares as a key development reshaping private markets, suggesting the agency is preparing to update its rules to keep pace with new forms of digital asset trading and settlement.
2025-07-03T15:51:00Z By Ruth Prickett
The EU’s new strategy aims to boost SME growth and cut market barriers, but businesses doubt reforms will happen, and consumer groups fear weaker data protections.
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