Welcome to the SCA News Feed

Bookmark this page for the latest news and SCA commentary on current regulatory initiatives.

SCA Spotlight

New Marketing Rule - General Prohibitions

The new marketing rule contains certain general prohibitions.

A Look at Significant Changes in New SEC Marketing Rule

Click through for a summary of key points.

Proxy Voting in the Spotlight

The SEC recently issued guidance to assist investment advisers in fulfilling their proxy voting responsibilities, particularly where they use the services of a proxy advisory firm, and provides guidance on proxy voting disclosures. Click through for links and information.

Reg BI in the Spotlight

On June 5, 2019, the SEC adopted Regulation Best Interest (Reg BI) under the Securities Exchange Act of 1934. Reg BI establishes a “best interest” standard of conduct for broker-dealers and associated persons when they make a recommendation to a retail customer of any securities transaction or investment strategy involving securities, including recommendations of types of accounts. Click through for links and information.