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

04/26/2021
The new marketing rule contains certain general prohibitions.

A Look at Significant Changes in New SEC Marketing Rule

04/15/2021
Click through for a summary of key points.

Proxy Voting in the Spotlight

10/15/2019
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

08/20/2019
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.