The head of the examination office at the U.S. Securities and Exchange Commission on Tuesday published details about the expected scope and content for compliance with a new rule requiring broker-dealers and investment advisers to disclose potential conflicts of interest.
Although the financial industry had lobbied to delay or suspend parts of the measure beyond its June 30 deadline, citing issues stemming from the coronavirus pandemic, SEC Chair Jay Clayton said the deadline remained"appropriate," but indicated there could be flexibility and more insight provided on the agency's examination approach.
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