The SEC rulemaking package designed to enhance retail investors' protections when dealing with broker-dealers and investment advisers was published in the Federal Register.

SEC Chair Jay Clayton responded to criticism of the recently adopted rulemaking package designed to strengthen protections afforded retail investors.

Cadwalader attorneys analyzed the SEC's interpretation of the standard of conduct required of investment advisers as fiduciaries to their clients.

A U.S. District Court held that compliance communications are not protected by attorney-client privilege or the work-product doctrine, and that the SEC can force an investment advisor to produce documentation of such communications.

The SEC named Adam B. Glazer as Senior Advisor to the Director of its Division of Investment Management.

SIFMA summarized the SEC's "Regulation Best Interest" rulemaking package.

SEC Commissioner Hester Peirce urged critics "to take a fair look at what [Regulation Best Interest] says before . . . proclaim[ing] it a success or failure" and committed the agency to closely monitoring the implementation of the new rule.

The Cabinet updated the "Disclosure, Reporting, and Recordkeeping Requirements" chapter of the Cadwalader Guide to Commodities Regulation and introduced three Topic Pages covering the new material.

Cadwalader attorneys authored a memorandum on newly adopted Regulation Best Interest, which is intended to expand the duties that broker-dealers owe to retail investors.

The SEC adopted a rulemaking package designed to enhance retail investors' protections when dealing with broker-dealers and investment advisers.