The SEC’s New Rulemaking Package
Samantha Bonamassa • July 15, 2019
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.
Podcast Link
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