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Regulatory Education
Switching hats in a post-regulation best interest world
With the adoption of Regulation Best Interest (Reg BI), the US Securities and Exchange Commission (SEC) is imposing an enhanced standard of conduct on broker-dealers and their associated persons when making recommendations to retail customers.
Regulatory Education
Thought Leadership Report: Enforcement and Litigation Risks
This article provides a high-level overview of how the SEC enforces the federal securities laws and the rules thereunder, and the enforcement and litigation risks presented by the rulemaking package.
Active/Passive Management
Four big trends driving ETF growth
Martin Small discusses the forces that could grow the ETF market to $12 trillion over the next 5 years.
Regulatory Education
Thought Leadership Report: The New SEC Standards
This article provides a high-level summary of the rulemaking package and explores its implications for registered investment advisors and dual registrants.