The broker-dealer regulator said it is taking action ‘in the interest of public safety’
Registered investment advisers will have 45 extra days to file ADVs, brochure updates
Broker-dealer regulator says Reg BI will clamp down on sales contests
Democrats focus on paid sick leave; experts say fluid situation may change
Summary prospectuses will be considerably shorter than the documents customers currently receive
As the coronavirus leads more to work remotely, supervision and the archiving of communications with clients become critical
Arbitration experts say similar market disruptions in the past resulted in more investor claims against brokers
Other priorities: Probing whether ESG funds live up to the hype, zeroing in on fee conflicts
Commissioner Allison Herren Lee expressed concern the changes would cause compliance uncertainty
CEO Kevin Keller: ‘It’s about fiduciary, not about fees.’
