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Expert Analysis

Regulation Best Interest: The SEC Can't Please Everybody

By Mark Jensen, Ian Roffman and Michael Krebs (September 5, 2018, 10:45 AM EDT) -- You have to feel for the U.S. Securities and Exchange Commission. The agency has proposed a package of rules,[1] including "Regulation Best Interest," intended to raise the standard of care for investment professionals and, not least, to reassert its role as the primary securities regulator in response to the U.S. Department of Labor's (now-defunct) effort to regulate services to retirement plans. Based on a highly unscientific sampling of the multitude of comments to the rule proposal, there appears to be wide agreement that the SEC should not only do something, it should fix everything....

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