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September 10, 2019

XY Planning Network, LLC et al v. United States Securities and Exchange Commission et al

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. June 29, 2020

    2nd Circ. Rejects Challenge To SEC's Regulation Best Interest

    With only a few days left before its compliance date, the U.S. Securities and Exchange Commission's Regulation Best Interest was upheld by a Second Circuit panel unswayed by arguments that the new rule governing standards of conduct for broker-dealers doesn't do enough to protect investors.

2 other articles on this case. View all »

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