See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

News April 23, 2018 Issue

SEC Proposes Broker-Dealer Best Interest Standard, Adviser Fiduciary Interpretation

The SEC on April 18 laid down its initial markers on the subject of standards of conduct for both broker-dealers and advisers while making clear that it expects and welcomes changes.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight for just $1,195! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.