SEC

Peirce urges patience on the part of the states over Reg BI

Reg BI (heavily) criticized at House hearing

House Financial Services Committee Hearing on Reg BI

Today, the House Financial Services Committee held a hearing on SEC Regulation Best Interest. Here is the the Committee Memorandum.

Our interview with The Intercept

Bill Mandia & George Michael Gerstein discuss fiduciary developments

State regulators criticize Reg BI

An increasingly growing web of fiduciary compliance

Larry Stadulis & George Michael Gerstein sit down with Citywire RIA Magazine to discuss the fiduciary state of play

The January 2019 edition of Citywire RIA Magazine features a discussion with Larry and myself on the various state approaches to regulating broker-dealers and investment advisers within the context of SEC Regulation Best Interest.

SEC asked to reinforce fiduciary protections in private funds

Full steam ahead for SEC standards of conduct rule?