Regulation Best Interest and the Standards of Conduct for Securities Broker-Dealers and Investment Advisers PDF Download
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Author: Melanie L. Fein Publisher: ISBN: Category : Languages : en Pages : 97
Book Description
This paper analyzes the language and meaning of the Securities and Exchange Commission's "Regulation Best Interest" and related regulatory actions establishing standards of conduct for securities broker-dealers and investment advisers with respect to retail investors.
Author: Melanie L. Fein Publisher: ISBN: Category : Languages : en Pages : 97
Book Description
This paper analyzes the language and meaning of the Securities and Exchange Commission's "Regulation Best Interest" and related regulatory actions establishing standards of conduct for securities broker-dealers and investment advisers with respect to retail investors.
Author: Angela A. Hung Publisher: Rand Corporation ISBN: 0833045016 Category : Law Languages : en Pages : 151
Book Description
In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
Author: Barry R. Temkin Publisher: ISBN: Category : Languages : en Pages : 8
Book Description
On June 30, 2020 registered securities broker-dealers must begin their compliance with new SEC Regulation Best Interest and Form CRS Relationship Summary/Form ADV Part 3, which were announced by the Securities and Exchange Commission on June 5, 2019. These new regulations were promulgated under authority given to the SEC by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Regulation Best Interest has four components: (1) the disclosure obligation; (2) the care obligation; (3) the conflict of interest obligation; and (4) the compliance obligation. The Form CRS Relationship Summary/Form ADV Part 3 imposes an obligation on both broker-dealers and investment advisers to provide a Customer Relationship Summary to retail investors. For broker-dealers this form is called Form CRS. For investment advisers this form is Form ADV Part 3. This article will provide some basic preliminary guidance on how broker-dealers and investment advisers can prepare for the June 30 compliance date.
Author: Melanie L. Fein Publisher: ISBN: Category : Languages : en Pages : 25
Book Description
This paper discusses how the Securities and Exchange Commission might formulate a “best interest” standard of conduct for broker-dealers and investment advisers under the Dodd-Frank Act that would be consistent with the Department of Labor's best interest contract exemption, the trust law standard in the Uniform Prudent Investor Act, and FINRA's Suitability Rule.
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee Publisher: ISBN: Category : Securities Languages : en Pages : 318
Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises Publisher: ISBN: Category : Business & Economics Languages : en Pages : 580
Author: James D. Cox Publisher: Aspen Publishing ISBN: 1543838480 Category : Law Languages : en Pages : 1408
Book Description
Buy a new version of this textbook and receive access to the Connected eBook on CasebookConnect, including: lifetime access to the online ebook with highlight, annotation, and search capabilities, plus an outline tool and other helpful resources. Connected eBooks provide what you need most to be successful in your law school classes. Learn more about Connected eBooks. The Tenth Edition of Securities Regulation: Cases and Materials encompasses the sea changes that have recently occurred in the securities laws and capital markets, brought about by both SEC rulemaking and shifts in underwriting practices. The casebook carries forward its long-held standard of providing students with an in-depth, sophisticated, practical look at contemporary securities law. As it has since its first edition, this volume contains a highly teachable mix of problems, cases, and textual material, encouraging students to build their knowledge base by being active problem-solvers. Always forward-thinking, stressing current developments and controversies, the book is also highly modular, so that professors can easily pick and choose how to structure their courses without being locked into any given progression. New to the Tenth Edition: Developments involving cryptocurrencies and coin offerings Commentary on market developments such as issues arising with the retailization of trading markets The SEC’s procedures for direct listings and the regulatory issues surrounding the explosion of SPACs The sweeping November 2020 reforms to the issuer transaction exemptions from registration, and the new standards for evaluating whether offerings will be integrated The Supreme Court’s most recent Goldman Sachs decision addressing fraud on the market Coverage of several developments affecting the SEC’s enforcement powers The SEC’s new rules for proxy advisory services and shareholder proposals Where the law stands today regarding the obligations of broker-dealers in the wake of Regulation Best Interest Professors and students will benefit from: The book’s highly modular organization, enabling different teaching formats and coverage Extensive use of problems that build student awareness of the fundamentals, with directions in the Teacher’s Manual on how best to teach them Concise notes that introduce the reader to both theory and real-life practice issues A book that is always up-to-date and on the cutting edge
Author: Melanie L. Fein
Author: Melanie L. Fein
Author: Angela A. Hung
Author: Thomas P. Lemke
Author: Barry R. Temkin
Author: Melanie L. Fein
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Author: 
Author: James D. Cox
Author: United States. Securities and Exchange Commission