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Investors Will Win If SEC Swiftly Adopts -- and DOL Recognizes -- Best-Interest Standard for Brokers
Investment Company Institute [ICI] Link to more items from this source
[Opinion]
Aug. 9, 2017
"ICI advocates that the SEC take the lead by adopting a new, clearly defined best-interest standard of conduct for SEC-registered brokers that enhances the current 'suitability' standard and other obligations that apply to brokers under federal securities laws and FINRA rules.... The new SEC standard that ICI recommends ... enhances the suitability standard to provide an explicit duty of care and duty of loyalty[.]"

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