Conflicts of Interest | Form CRS | Investment Adviser Regulation | Regulation Best Interest | SEC Rule changes

SEC Proposes New Best Interest Standard for BDs, Conduct Standards for RIAs, Warns Advisers about Bad Billing Practices, and the EU Extends its Reach on Data Protection: Regulatory Update May 1, 2018

SEC Proposes “Regulation Best Interest” for Broker-Dealers: In an attempt to “enhance the quality and transparency of investors’ relationships with investment advisers and broker dealers,” the SEC has proposed and…