The SEC’s New Rulemaking Package
Chicago's Legal Latte
English - July 09, 2019 21:00 - 16 minutes - 13.8 MB - ★★★★★ - 5 ratingsBusiness business law tax law family law estate planning real estate personal injury litigation Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: Common Errors Committed by Businesses – and How to Avoid Them!
Next Episode: Protecting Your Legacy Through Succession Planning
On April 18, 2018, the Securities and Exchange Commission (SEC) proposed a set of rules and an interpretation to address confusion among retail investors and clarify the standards of conduct applicable to investment advisers and broker-dealers, while simultaneously preserving investors’ access to a range of products and services at a reasonable cost. After certain modifications to the SEC’s proposal based on feedback from investors and commenters, on June 5, 2019, the SEC voted in favor to adopt a final package of rules, amendments, and interpretations. In this podcast, attorney Samantha Bonamassa provides an overview of this rulemaking package.