SEC Investor Advocate: Does Gamification Mean Game Over for Reg BI?
By Melanie WaddellFor Reg BI to remain relevant, the SEC must make clear when digital "nudges" to trade are recommendations, Rick Fleming says.
October 05, 2021
GOP Lawmaker Questions SEC Chief on Commitment to Reg BIGary Gensler says he fully supports the rule even after appointing staffers like Barbara Roper who oppose it.
September 28, 2021
Reg BI Compliance Requires 'Tailored' Policies and Procedures: SECGive registered reps specific examples of how to accomplish Reg BI's requirements, the SEC's Asset Management director suggests.
September 20, 2021
Kitces' XY Planning Urges SEC to Block Brokers From Offering Financial PlansSuch services are beyond the scope of "solely incidental" advice, says XYPN, which also wants the SEC to tighten rules around advisor titles.
August 26, 2021
Rhoades, Borzi: What to Expect From Consumer Advocate Roper at the SECRon Rhoades, Phyllis Borzi and others in the regulatory world discuss how Roper could shape issues like Reg BI and 12b-1 fees.
August 25, 2021
Barbara Roper Gets Key SEC PostSEC Chairman Gary Gensler has appointed Roper, a prominent investor advocate, as a senior advisor.
August 17, 2021
Connecticut Insurance Department Adopts Best-Interest Annuity RuleConnecticut is the 16th state to adopt the NAIC rule.
July 26, 2021
SEC Slams 21 Advisors, 6 BDs Over Form CRS FailuresThe exam chief said in March that examiners "had identified hundreds of firms that we believed should have filed a Form CRS but didn't."