In this clip, Kirk Montgomery (Partner, Practus, LLP) and Stacy Chitty (Managing Partner, Blue Vault) cover the basics of Reg BI.
Regulations
Kirk Montgomery: Reg BI and Alternative Investments
In this clip, Kirk Montgomery (Partner, Practus, LLP) and Stacy Chitty (Managing Partner, Blue Vault) discuss Reg BI and alternative investments as a useful component of an overall portfolio.
June 3, 2020
Revamped DOL Fiduciary Rule Lands at White House
The DOL has sent its revamped fiduciary rule to the White House’s Office of Management and Budget for review...
January 10, 2018
House GOP Guns For DOL Fiduciary Rule
GOP leaders, fresh off their tax reform victory, are banking on Washington’s anti-regulation climate to help them pass a rider in a House spending bill that would completely vacate the U.S. Department of Labor’s fiduciary rule.
Schwab IMPACT: SEC Should Consider B/D-Only Rules
Investment advisors prefer that the SEC leaves the Investment Adviser's Act fiduciary duty alone.
November 16, 2017
SEC Filings Part 2: A Closer Look at Some Key Issues
SEC Filings Part 2: A Closer Look at Some Key Issues November 15, 2017 | by Beth Glavosek | Blue Vault The Securities and Exchange Commission (SEC) aims to make it as easy as possible for investors to fully research companies before they invest in them. You can use the SEC’s EDGAR database to find answers…
June 23, 2017
What’s New with the DOL Fiduciary Rule?
What’s New with the DOL Fiduciary Rule? June 23, 2017 | by Beth Glavosek | Blue Vault Have you been keeping up with the status of the Department of Labor’s (DOL) Fiduciary Rule? After years of contentious debate between government regulators and financial industry professionals, the controversial ruling basically went dormant for a while after President…
April 17, 2017
Financial Choice Act to Be Reintroduced by End of April
Financial Choice Act to Be Reintroduced by End of April Latest iteration of Choice Act still requires DOL to promulgate fiduciary rule similar to SEC's April 12, 2017 | by Melanie Waddell | ThinkAdvisor Rep. Jeb Hensarling’s Financial Choice Act, which seeks to gut the Dodd-Frank Act and is set for release by the end of April,…
April 6, 2017
What are Subordinated Investments?
What are Subordinated Investments? April 6, 2017 | by Beth Glavosek | Blue Vault The topic of fiduciary responsibility is on everyone’s minds this year. One unique approach to protecting investors’ interests is subordinated co-investing. It’s one possible way to address the mandates for transparency and fiduciary responsibility imposed by FINRA’s 15-02 rule and the…
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The alternative investments industry is
expected to grow to $17 trillion by 2025.
