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SEC Discusses “Regulation Best Interest” for BDs and Standards of Conduct for RIAs at Open Meeting: “Reg Status Quo”?
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As we previewed in SAA 2018-14, the five sitting Commissioners of the Securities Exchange Commission held an open meeting April 18 at 3:30 PM on several issues that have begged for consideration for years.

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Third SAC Podcast Tackles “Investment Adviser Arbitration – What You Need To Know”
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The current state of registered investment adviser (“RIA”) arbitration, and where things may be headed, were the core topics discussed recently by an experienced panel of securities arbitration experts in the third SAC podcast.

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