Commentary by Steven Lofchie
The DOL proposed amendments to ERISA Rules to clarify the application of ERISA’s fiduciary duties of prudence and loyalty to selecting investments and investment courses of action.
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Commentary by Steven Lofchie
A broker-dealer settled NYSE American LLC charges for (i) failing to keep accurate records of manual customer orders that were routed to the NYSE American Options floor, and (ii) related supervisory violations.
The SEC adopted amendments to its filing fee disclosure and payment methods.
SEC Investor Advocate Rick Fleming expressed concern that the use of digital engagement practices blurs the distinction between solicited and unsolicited trading under Regulation Best Interest.