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U.S. Securities and Exchange Commission Proposes “Best Interest” Standard for Retail Broker Dealers

Photo of Thomas J. Hall
By Thomas J. Hall on April 26, 2018

On April 18, 2018, the U.S. Securities and Exchange Commission (“SEC”) announced proposed rules that would require broker-dealers to act in the best interests of their retail clients when recommending investments. The SEC opened the proposed rules to a 90…

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In this blog, litigators from Norton Rose Fulbright offices in both Canada and the United States comment upon domestic developments in securities litigation in both countries and cross border issues. Among other things, we deliver insights on recent securities law decisions, amendments to securities statutes and regulations, securities class actions and cross border developments. We have broad experience and international expertise in these matters and are frequently called upon for advice in high-profile securities litigation, enforcement proceedings and internal investigations. Stay connected with Securities litigation and enforcement and subscribe to the blog today.

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