SEC Proposes Rules Addressing Broker-Dealer and Investment Adviser Standards of Conduct

April 25, 2018
Financial Regulation Reform Tracker

The U.S. Securities and Exchange Commission, on April 18, 2018, voted 4-1 to publish for public comment a package of proposed rules and interpretations (Proposals) intended to improve the retail investor experience and to provide greater clarity regarding investors’ relationships with broker-dealers and investment advisers. Please see Dechert Newsflash, SEC Proposes Rules Addressing Broker-Dealer and Investment Adviser Standards of Conduct.

Read more »