July 30, 2018

2018 SEC Best Interest Proposals

Los Angeles partner Fred Reish authored a white paper for TD Ameritrade titled “2018 SEC Best Interest Proposals.”

The white paper discusses the landmark series of rules that the Securities and Exchange Commission recently proposed concerning the standards of care for investment advisers and broker-dealers, with a focus on the impact on investment advisers. Fred notes that these proposals may, if finalized, make material changes in the regulation of investment advisers and will introduce a new, and potentially confusing, best interest standard for broker-dealers. The white paper takes an in-depth look at the SEC’s proposals and addresses the question of what investment advisers should do now.


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