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Staff Bulletin The Securities And Exchange Commission Began Circulating On Thursday..pdf

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Preview of staff bulletin the Securities and Exchange Commission began circulating on Thursday.
🔗 Source: arizent.brightspotcdn.com
📊 Size: 376 KB
👤 Author: Das, Anand
⬇️ Downloads: 59

Summary

The Securities and Exchange Commission staff bulletin reiterates standards of conduct for broker-dealers and investment advisers, focusing on care obligations when providing investment advice to retail investors. The care obligations include understanding potential risks, rewards, and costs of investments, having a reasonable understanding of the retail investor's investment profile, and having a reasonable basis to conclude that the recommendation is in the retail investor's best interest. These obligations are based on Regulation Best Interest (Reg BI) for broker-dealers and the Investment Advisers Act of 1940 (IA fiduciary standard) for investment advisers, which require acting in the retail investor's best interest and not placing own interests ahead of the investor's.

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Description

The Securities and Exchange Commission staff bulletin reiterates standards of conduct for broker-dealers and investment advisers, focusing on care obligations...

Technical Information

  • File Format: PDF
  • File Size: 376 KB
  • Pages: 24
  • Language: EN
  • Author: Das, Anand
  • Total Downloads: 59
  • Last Updated: 1 month ago

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