SEC Plans More Changes to Accredited Investor Definition
By Melanie WaddellRules around money market funds, ESG, gamification, a shortened settlement cycle and advisor custody are also on the SECs agenda.
May 14, 2021
SEC's Crenshaw Wants Investor Testing on Reg BI, Form CRSInvestor testing is needed to ensure the disclosure-based rules are working, said SEC's Crenshaw.
April 21, 2021
Rollovers, Revenue Sharing Could Be in Examiners' Sights: SEC's PeirceThe SEC commissioner discusses what advisors can expect from exams in terms of Reg BI compliance.
April 20, 2021
Consumer Group Presses SEC's Gensler to Define 'Best Interest'Spelling out this definition is the only way to ensure Reg BI has any teeth, consumer advocate Barbara Roper says.
March 25, 2021
Idaho and North Dakota Adopt Annuity Sales Standards UpdatesVirginia's update is still in progress.
March 17, 2021
Reg BI Enforcement Actions Coming Soon, ex-FINRA Enforcement Chief SaysA preview of Human Capital's interview with former FINRA enforcement chief Susan Schroeder.
March 09, 2021
FINRA Looks at Reg BI in Light of GameStop FrenzyFINRA will consider whether Reg BI applies to game-like features in trading apps, CEO Robert Cook told Sen. Elizabeth Warren.
February 25, 2021
SEC Amps Up Reg BI Exams"Good-faith" compliance efforts are no longer enough, an SEC exam official warns.