Topic: Fiduciary Rule

Fiduciary Rule Update – SEC to Consider Broker Dealer and Investment Adviser Standards

The SEC has announced it will hold a public meeting on Wednesday, April 18 at 3:30 p.m. to discuss possible standards for broker-dealers and investment advisers when dealing with retail investors (e.g., small retirement plans, their participants, and IRA owners), signaling that it will consider a new fiduciary standard of conduct and related rules.  At…

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