Simply the Best (Interest) - SEC Proposes New Broker-Dealer Standard and Additional Related Guidance

46 Bloomberg Tax/Tax Management Compensation Planning Journal 127

8 Pages Posted: 14 Aug 2018

See all articles by K. Grafton

K. Grafton

Dechert LLP

Andrew L. Oringer

Dechert LLP; Hofstra University - Maurice A. Deane School of Law

Mark Perlow

Dechert LLP

Mike Sherman

Dechert LLP

Date Written: August 3, 2018

Abstract

The SEC has moved forward in crafting a series of proposals focused on the "best interest" of certain customers of Brokers and advisers. The authors discuss these proposals and what they may mean for the market.

Suggested Citation

Grafton, K. and Oringer, Andrew L. and Perlow, Mark and Sherman, Mike, Simply the Best (Interest) - SEC Proposes New Broker-Dealer Standard and Additional Related Guidance (August 3, 2018). 46 Bloomberg Tax/Tax Management Compensation Planning Journal 127, Available at SSRN: https://ssrn.com/abstract=3221182

K. Grafton

Dechert LLP ( email )

200 Clarendon Street
Philadelphia, PA 19103
United States

Andrew L. Oringer (Contact Author)

Dechert LLP ( email )

1095 Avenue of the Americas
New York, NY 10036-6797
United States
212-698-3571 (Phone)

HOME PAGE: http://www.dechert.com

Hofstra University - Maurice A. Deane School of Law ( email )

121 Hofstra University
Hempstead, NY 11549
United States

Mark Perlow

Dechert LLP ( email )

200 Clarendon Street
Philadelphia, PA 19103
United States

Mike Sherman

Dechert LLP ( email )

200 Clarendon Street
Philadelphia, PA 19103
United States

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