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The SEC's Fiduciary Proposal: Investment Adviser Standard of Conduct
Spencer Fane Link to more items from this source
[Guidance Overview]
Apr. 24, 2018

"While the Regulation Best Interest rule is applicable to broker-dealers, the SEC also issued a release that provides an Interpretation Regarding Standard of Conduct for Investment Advisers ... According to the SEC, the purpose of the release is to 'affirm investments advisers' understanding of the obligations they owe their clients, reduce uncertainty for advisers, and facilitate their compliance.' In addition, the SEC is requesting comments on three specific areas that are addressed under the regulatory regime for broker-dealers, but may not be addressed with respect to investment advisers. Those three areas are: [1] federal licensing and continuing education, [2] provision of account statements, and [3] financial responsibility."

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