SEC releases FAQs on Reg BI
The SEC just released Frequently Asked Questions on Regulation Best Interest, which can be found here.
Best Interest
Massachusetts holds hearing today on fiduciary proposal
Here is a link to the request for comment.
NAIC model rule re. best interest moves closer to reality
@MarkSchoeff is reporting that NAIC is moving closer and closer to best interest annuity sales rule.https://t.co/opVLXAZchO
— Fiduciary Governance Group (@FidGovGroup) January 3, 2020
Pensions & Investments The implications for broker-dealers and investment advisers as Massachusetts and New Jersey gallop toward uniform standard of care
@MarkSchoeff – As Massachusetts' uniform fiduciary proposal leaps closer to finalization, and NJ's substantially sim. proposal remains in wings, we face prospect of a new paradigm that other states follow. The potential implications are significant. More: https://t.co/XNUjjMN5IA
— Fiduciary Governance Group (@FidGovGroup) December 2, 2019
ThinkAdvisor 