• Securities Regulation and Enforcement Series: All Things Standards of Care in 2024

  • Jun 5 2024
  • Length: 39 mins
  • Podcast

Securities Regulation and Enforcement Series: All Things Standards of Care in 2024

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  • Summary

  • The series continues by focusing on Dodd Frank Act’s Section 913, which addressed the standards of care of broker-dealers and investment advisers, and the regulatory developments in that space since 2010, including the SEC’s 2011 Study and 2013 Concept Release leading up to the proposal of Regulation Best Interest in 2018. The podcast also addresses the adoption of Regulation Best Interest in 2019 and the ensuing implementation in 2020, as well as the 2019 Advisers Act Fiduciary Interpretation and 2022 and 2023 SEC Staff bulletins. This episode closes by addressing developments in Department of Labor ERISA rulemaking and state securities and insurance developments.


    Click HERE to listen to Part 1 of this series from May 22, 2024.


    Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.
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