David Williams

David Williams

Faegre Drinker Biddle & Reath LLP

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The SEC Trading and Markets Reg BI FAQ and the SEC’s and FINRA’s Plans for Reg BI Exams

In light of the significance of the final rules and Commission interpretations issued by the Securities and Exchange Commission (SEC) on June 5, 2019, our Best Interest Compliance Team issued a series of articles on the...more

2/14/2020  /  Broker-Dealer , Disclosure Requirements , Financial Industry Regulatory Authority (FINRA) , Form CRS , Investment Adviser , OCIE , Regulation Best Interest , SEC Examination Priorities , Securities and Exchange Commission (SEC)

Digging into the SEC’s Final RIA Guidance – And Why It Repeatedly Uses the Term “Best Interest”

In light of the significance of the final rules and commission interpretations issued by the Securities and Exchange Commission (SEC) on June 5, 2019, Drinker Biddle & Reath’s Best Interest Compliance Team is publishing a...more

10/8/2019  /  Best Interest Standard , Broker-Dealer , Fiduciary Duty , Form CRS , Investment Adviser , Investment Advisers Act of 1940 , Regulation Best Interest , Securities and Exchange Commission (SEC) , Standard of Conduct
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