SEC To Vote June 5 On Regulation Best Interest
After a contentious comment period and a listening tour, the commissioners have set June 5 to vote on its Regulation Best Interest rule.
Cassie Miller
Let’s Talk Annuities: The Growing Fee-based Annuity Space
At the Insured Retirement Institute’s Action19 conference, a panel of experts shared how new technology solutions and best interest duties are expanding and changing the fee-based space.
What’s The Best Way To Lobby A Lawmaker?
Being a congressman can feel a little like “speed dating,” one former representative said.
Are Millennials ‘Financially Fragile?’
The rising cost of living and cost of education has changed the financial landscape for millennials. But there’s more for advisors to understand when it comes to millennials and financial fragility.
Five First Ladies Of Finance
March is Women’s History Month. As such, it’s the perfect time to celebrate the historic women who paved the way for all of the women currently working in the financial services industry by acknowledging the triumphs and obstacles they faced and sharing their stories.
The United States House of Representatives Committee on Financial Services and the House Subcommittee on Investor Protection, Entrepreneurship and Capital Markets held a hearing Thursday morning examining the Securities and Exchange Commissions proposed Regulation Best Interest rule.
Despite much speculation from various industry sources saying that the SEC could have a final Regulation Best Interest rule as early as the first quarter, no one knows when in 2019 to expect the final ruling. The government shutdown has likely put work behind schedule and little is getting done, analysts say.
There’s been no shortage of financial news in 2018. From the SEC’s Regulation Best Interest to the ups and downs of the stock market, here are the best AdvisorNews articles of 2018.
While the SEC revises its rule-making package containing regulation best interest, Form CRS and title reform, several states are taking matters into their own hands, establishing a fiduciary standard in the hopes of better-protecting investors.
“We want your views,” SEC Chairman Jay Clayton says of the SEC’s cross-country roundtable tour to hear from investors.
