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

  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. January 08, 2020

    Dodd-Frank Architects Join Legal Challenge To SEC's Reg BI

    A challenge to new rules requiring broker-dealers to act in their clients' best interests now has the support of the Dodd-Frank Act's top authors, who joined 10 past and present members of Congress urging the Second Circuit to scrap a rule they say doesn't do enough to protect investors.

  3. September 11, 2019

    Advisers Follow States In Challenging SEC's Broker Rule

    An organization of investment advisers and one of its members asked a New York federal court to invalidate the U.S. Securities and Exchange Commission's new regulation governing the standards of conduct for brokers, just a day after eight attorneys general did the same.