Reg BI. Who Cares?

Advisor Perspectives welcomes guest contributions. The views presented here do not necessarily represent those of Advisor Perspectives. Q1 hedge fund letters, conference, scoops etc Here’s yet another unpopular idea. Reg BI is no more than SEC posturing and won’t have a substantial impact on the way people do business. Fiduciaries knocked off...

Cato Sues SEC Over Gag Orders

Earlier today, the Cato Institute sued the Securities and Exchange Commission in federal court, challenging the SEC’s policy of imposing perpetual gag orders on settling defendants in civil enforcement actions. The clear point of that policy is to prevent people with the best understanding of how the SEC uses...

SEC Raises Risks For Small Cap Investors

Check out this week’s Danger Zone interview with Chuck Jaffe of Money Life. The Securities and Exchange Commission just made investing more dangerous for the little guy. Q3 hedge fund letters, conference, scoops etc By U.S. Government [Public domain], via Wikimedia CommonsUnder a new proposal, nearly 1,000 more companies can omit disclosures...

The SEC Isn’t Giving Us Straight Talk

Advisor Perspectives welcomes guest contributions. The views presented here do not necessarily represent those of Advisor Perspectives. Q3 hedge fund letters, conference, scoops etc By U.S. Government [Public domain], via Wikimedia CommonsIf passed, the SEC’s 125,993-word proposed Reg Best Interest (“Reg BI”) will harm investors and greatly change the competitive landscape...

Mr. Chairman, “Rebuild The 40 Act Wall”

Advisor Perspectives welcomes guest contributions. The views presented here do not necessarily represent those of Advisor Perspectives. [REITs] Q2 hedge fund letters, conference, scoops etc By U.S. Government [Public domain], via Wikimedia Commons“Those who fail to learn from history are doomed to repeat it.” RIAs must heed Churchill’s forewarning. The SEC’s proposed standards...

SEC Ignores Investor Sentiment About Mutual Fund Disclosure Delivery

Consumer organizations decry 'mutual fund industry giveaway' Washington, DC—Despite overwhelming opposition to abandoning the default paper format delivery method for mutual fund disclosures, the Securities and Exchange Commission (SEC) yesterday voted behind closed doors to ignore investor sentiment and allow funds, as of Jan. 1, 2021, to deliver shareholder reports...

Open Letter To The SEC: Markets Need A Unified Fiduciary Standard

What is a fiduciary? According to SEC chairman Jay Clayton, nobody knows. Mr. Clayton spoke at the annual Financial Industry Regulatory Authority (FINRA) conference on Tuesday and said: Q1 hedge fund letters, conference, scoops etc, Also read Lear Capital: Financial Products You Should Avoid? By U.S. Government [Public domain], via Wikimedia Commons“There’s...

Fiduciary Duties Need To Extend To Research

Most of the coverage of the SEC’s recent proposal to replace the DOL Fiduciary Rule has focused on the different standards for brokers vs. advisors and the shortcomings of a disclosure-based approach to regulation. We agree with many of these criticisms, as we wrote last week before the proposal...

A Reminder To The SEC: Disclosure Is Not Enough

As the SEC gets set to propose its advice standard (similar to the Department of Labor’s Fiduciary Rule) on April 18, we believe it is important to note that disclosure alone is not enough to protect investors. Is Financial History At Risk From Big Data? Slowing Growth, High Tech Among Big...

How To Gather Evidence If You Want To Be A Whistleblower

Not unlike the popular psychology that emerged in the late 20th century, in the legal world, “self-help” is a powerful notion that calls upon the individual to take an active role in creating his or her best legal outcome. For whistleblowers, particularly those reporting corporate misconduct, this is mission...

Proxy Monitor 2017 – Finding: Climate Change Proposals Break Through

Mr. Copland is a senior fellow with and director of legal policy at the Manhattan Institute. Ms. O’Keefe is the Manhattan Institute’s Proxy Monitor project manager. Under rules promulgated by the Securities and Exchange Commission (SEC),[3] shareholders of publicly traded corporations listed in the United States may place items on company...

Is SEC Whistleblower Program The Regulator's Biggest Success?

SEC whistleblower program - The Securities and Exchange Commission whistleblower program has had a “transformative impact,” the regulator’s Director of the Division of Enforcement Andrew Ceresney said in a speech Tuesday. With numerous regulatory agencies around the world looking to mimic its structure, the secrets to the SEC’s most...

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