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Financial Professional Standards

The Securities and Exchange Commission (SEC) formally adopted four regulatory measures intended to enhance the protection of retail investors while preserving existing investment industry business models and the ability of investors to choose among different types of providers. Specifically, the SEC adopted: (1) new Regulation Best Interest; (2) new Form CRS; (3) an interpretation of an investment adviser’s fiduciary duties; and (4) an interpretation of the “solely incidental” prong of the broker-dealer exclusion from the definition of an “investment adviser” under the Investment Advisers Act of 1940. The materials on this webpage include, among other things, our detailed analyses of each of the above items.

Thought Leadership

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2 April 2025
President Trump Announces "Reciprocal" Tariffs Beginning 5 April 2025
Alerts/Updates
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19 February 2025
The Rules That Apply to Foreign Persons Purchasing Established Homes in Australia are Going to Change on 1 April 2025...So, You May Need to Act Now
Alerts/Updates
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9 April 2025
Going Nuclear–Industry Outlook and Issues
Alerts/Updates
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24 January 2025
The Regulation on Markets in Crypto-Assets Becomes Fully Applicable in All Member States of the European Union
Alerts/Updates
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