NASAA Proposal of Best Adviser Practices Receives Pushback
Critics say the proposal recommended to states goes beyond the SEC’s Reg BI and endangers annuity products and educational materials.
Tag: SIFMA
Lawsuit Would Block Missouri’s Anti-ESG Advising Rule
Requiring registered advisers to follow state-level ESG disclosure rules violates federal law, according to SIFMA’s lawsuit.
House Reintroduces Bill Calling for Diversity Disclosure
SIFMA supports passage of the bill that would require publicly listed firms to disclose the gender, ethnic and racial composition...
SIFMA Asks Nevada to Hold Off on Fiduciary Rule
The group thinks the state should wait on the SEC’s Best Interest Standard and that its proposed statewide fiduciary rule would drive investors away from brokerage accounts.