{"id":932,"date":"2019-06-04T21:36:46","date_gmt":"2019-06-04T21:36:46","guid":{"rendered":"http:\/\/localhost\/?p=932"},"modified":"2019-06-04T21:38:15","modified_gmt":"2019-06-04T21:38:15","slug":"preemption-of-state-securities-laws","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2019\/06\/04\/preemption-of-state-securities-laws\/","title":{"rendered":"Preemption of state securities laws"},"content":{"rendered":"

With the recent announcement by the US Securities and Exchange Commission (SEC) that it will hold an open meeting on June 5, 2019, to consider adopting Regulation Best Interest, one of the major issues that the SEC may clarify is its view of whether Regulation Best Interest preempts state securities regulations that impose a fiduciary duty on broker-dealers.<\/p>\n

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With the recent announcement by the US Securities and Exchange Commission (SEC) that it will hold an open meeting on June 5, 2019, to consider adopting Regulation Best Interest, one of the major issues that the SEC may clarify is its view of whether Regulation Best Interest preempts state securities regulations that impose a fiduciary … Continue reading Preemption of state securities laws<\/span> →<\/span><\/a><\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[24,21,22],"tags":[],"class_list":["post-932","post","type-post","status-publish","format-standard","hentry","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t\n\t\n\t\n\t\n\t\n\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t