11Jun
FLASHPOINT: REGULATION BEST INTEREST AND MORE … A PRESENT TO INVESTORS FROM THE SEC
By S. Derrin Watson, Of Counsel The Securities and Exchange Commission (SEC) has published a package of rules and interpretations (“SEC Rule”) dealing with the duties broker-dealers and investment advisors owe to their customers, including individual plan participants. The SEC originally proposed the package in April 2018, weeks after the 5th Circuit Court of Appeals […]
- Posted by Marta Ward
- On June 11, 2019
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