Related News Clips*

New SEC Standards of Conduct Rules
Related News Clips

The SEC’s Standards of Conduct Rulemaking has generated a great deal of media coverage and commentary, which has commanded the attention of policymakers, financial professionals and investors. Following are links to significant stories and commentary.

Form CRS – What advisors need to know, Financial Planning – July 17,2019
IAA Associate General Counsel Sanjay Lamba is quoted.

‘Fiduciary’ Tag Not Off-Limits, SEC Clarifies, Ignites (Subscription Required) – June 21, 2019
IAA statement is quoted.

SEC: RIAs Can Still Call Themselves Fiduciaries, Barron’s – June 21, 2019
IAA President & CEO Karen Barr is quoted.

SEC clears up confusion over whether advisers can continue to call themselves fiduciaries, InvestmentNews (Subscription Required) – June 20, 2019
IAA President & CEO Karen Barr is quoted.

No, RIAs Aren’t Banned From Calling Themselves Fiduciaries on Form CRS, ThinkAdvisor – June 20,2019
IAA President & CEO Karen Barr is quoted.

IAA Letter to the Editor, Financial Planning – June 17, 2019

Does the SEC’s new interpretation of the investment adviser standard diminish it? Depends on who you ask, InvestmentNews (Subscription Required) – June 11, 2019
IAA President & CEO Karen Barr is quoted.

Reg BI limits brokers’ use of the title ‘adviser’ or ‘advisor’, InvestmentNews (Subscription Required) – June 10, 2019

Regulation Best Interest: Here's what the new rule means for RIAs, RIA (Citywire) – June 6, 2019
IAA President & CEO Karen Barr is quoted.

SEC Approves New Broker Standards Despite Objections, Law 360 (Subscription  Required) – June 5, 2019
IAA General Counsel Gail Bernstein is quoted.

It’s Official! SEC Pushes Through with Regulation Best Interest Standard for Broker-Dealers, Financial Advisor IQ – June 5, 2019
IAA President & CEO Karen Barr is quoted.

Reg BI passed by SEC 3-1; lone Democrat dissents, Pensions & Investments (Subscription Required) – June 5, 2019
IAA President & CEO Karen Barr is quoted.

Cheers, Jeers for SEC’s New Advice-Standards Rules, ThinkAdvisor – June 5, 2019
IAA President & CEO Karen Barr is quoted.

'Jury Still Out' On How Reg BI Will Impact Investment Advisors, IAA Exec Says, Financial Advisor – June 5, 2019
IAA General Counsel Gail Bernstein is quoted.

Investor Advocates slam SEC advice reform on eve of Reg BI vote, InvestmentNews – June 4, 2019

A New Rule Won’t Make Your Broker an Angel, Wall Street Journal (Subscription Required) – May 31, 2019