In this issue: 

• SEC Adopts Rules and Interpretations Concerning the Standard of Conduct for Broker-Dealers and Investment Advisers
• SEC Proposes Amendments to Financial Reporting Rules for Business Combination Transactions Involving Investment Companies
• SEC, NASAA, and FINRA Issue Senior Safe Act Fact Sheet
• Remarks of SEC Commissioner Hester M. Peirce at the ETFs Global Markets Roundtable

 

Download the Investment Services Regulatory Update