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Reg BI Establishes Higher Standards for Broker-Dealers, Asset Management Counsel David Tittsworth States in Pensions & Investments

Practices: Asset Management, Investment Management, Investment Advisers, Investment Management Compliance, Derivatives & Commodities, Broker-Dealers Industries: Financial Institutions

Capital Insights.

An article published by Pensions & Investments on April 15 titled Stakeholders await SEC’s final rule regarding Reg BI” reports that the SEC has made its standards-of-conduct package proposal a top priority, with a final rule expected in the coming months. Asset management counsel David Tittsworth is quoted in the piece. When examining both rules, Reg BI establishes higher standards for broker-dealers because it requires them to disclose and in some cases mitigate conflicts of interest, Mr. Tittsworth stated in the article.

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