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Financial Professional Standards

The Securities and Exchange Commission (SEC) formally adopted four regulatory measures intended to enhance the protection of retail investors while preserving existing investment industry business models and the ability of investors to choose among different types of providers. Specifically, the SEC adopted: (1) new Regulation Best Interest; (2) new Form CRS; (3) an interpretation of an investment adviser’s fiduciary duties; and (4) an interpretation of the “solely incidental” prong of the broker-dealer exclusion from the definition of an “investment adviser” under the Investment Advisers Act of 1940. The materials on this webpage include, among other things, our detailed analyses of each of the above items.

Thought Leadership

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18 June 2025
Senate Updates Code Section 899
Alerts/Updates
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10 June 2025
Proposed Retaliatory US Taxes Would Impact Cross-Border Transactions
Alerts/Updates
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13 June 2025
How President Trump's "One Big Beautiful Bill" Will Impact Businesses in Australia
Alerts/Updates
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25 June 2025
Pared Back Version of the Texas Responsible Artificial Intelligence Governance Act Signed Into Law
Alerts/Updates
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