May 9, 2016 ... The idea is that the regulation will stop advisers from putting their own ... what is
in the best interests of clients when they offer guidance on 401(k) plan assets, ....
The DOL rule will force financial advisers to satisfy the BICE conditions ... With
the new rule pushing more IRA accounts into fee-based structures, ...
Mar 29, 2016 ... The Forum is an extremely constructive force for enhancing the ... As you will
hear, much is expected of you in your oversight role, but I also fully ... their own
employees; instead, they rely on their investment advisers ... They also raise a
number of new questions for fund directors related to their oversight of ...
Jan 4, 2012 ... Fraudsters like Anthony Fields “are quick to adapt to new technol- ... percent of
investment advisers indicated a plan to increase their use of ... will also examine
the SEC‟s current guidance on investment ...... No longer just a fad, social media
is an influential force in socie- .... actually listen to their needs.
Jun 1, 2016 ... They may hear from a new U.S. Securities and Exchange Commission internal
task force. ... how companies are using non-GAAP measures to report their
financials, and to ... “Division staff will be incorporating this new guidance into our
... The creation of the SEC task force comes at a time when companies ...
Aug 30, 2013 ... These changes include the evolution of new categories of sellside participants ...
dealers giving “naked” market access to customers, as well as amendments to
Regulation SHO that impose ..... In August 2008, the SEC proposed guidance ....
can afford to deploy their own highly sophisticated trading tools?
May 11, 2016 ... Twenty-eight law firms issued joint guidance, here, in the aftermath of two court ...
The upshot: the SEC will go back to the drawing board to try to fix this .... In
crowdfunding news, the first equity crowdfunding platform filed to register ..... to
ask their customers to do more than what is required by the SEC rules...
Apr 11, 2016 ... New DoL fiduciary requirements for conflicted advisors to follow the Best ...
means the new DoL fiduciary rule will likely ultimately drive the SEC to .... for
Advisers to act contrary to the customer's best interests; and ..... guidance with a
level of ambiguity that forces firms to shift their ..... Thanks for lis...
NASD staffs, to provide guidance to the SEC as it considers these issues. ... Task
Force reviewed the development of multiple class funds and their effect on ....
compensation, such as payments from a mutual fund adviser for “shelf space,”
are not ... based on the profile will receive the fund's full prospectus with the
Jul 31, 2014 ... In his first recommendation to Congress, new SEC Investor ... are always
evaluated by their advertised benefits; not by their actual .... the firm's business
lines and customers, but it can also show its compliance failures. ... firms by
providing guidance regarding: (1) investment advisers' ..... person listeni...
May 31, 2016 ... SEC looking at issue of non-GAAP metric abuse ... an internal task force to
closely review the use of “non-GAAP” numbers and ... comply with the new
guidance in their second quarter earnings releases. ... Division staff will be
incorporating this new guidance into our review of ... We Want to Hear from You.