• About
    • Meet the team
    • Testimonials
    • In the News
  • Consulting Services
    • Congressional Advocacy
    • Federal Government Relations
    • Federal Regulatory Relations
    • State Government Relations
    • Policy Development & Coalition Building
    • Media Relations
  • Practice Areas
  • News and Analysis
    • Blog
    • Blog Archive
    • Financial Services and Capital Markets Policy Bulletin
  • Contribution Strategies
  • Contact Us
  • 202-410-5067
Public Policy & Regulatory Consulting, Washington DC
  • About
    • Meet the team
    • Testimonials
    • In the News
  • Consulting Services
    • Congressional Advocacy
    • Federal Government Relations
    • Federal Regulatory Relations
    • State Government Relations
    • Policy Development & Coalition Building
    • Media Relations
  • Practice Areas
  • News and Analysis
    • Blog
    • Blog Archive
    • Financial Services and Capital Markets Policy Bulletin
  • Contribution Strategies
  • Contact Us
  • 202-410-5067

RIA oversight

Home » RIA oversight
Analysis: Takeaways From the SEC’s Report to Congress on Abuse of Arbitration by RIAs
By Michael Canning
In RIA oversight, Securities and Exchange Commission
Posted July 11, 2023

Analysis: Takeaways From the SEC’s Report to Congress on Abuse of Arbitration by RIAs

"All of this is difficult to square with the fiduciary duties RIAs owe their clients. Remember, the “fiduciary duty” standard applicable to RIAs is intended to set them apart from their [...]

READ MORE
Categories
  • 118th Congress
  • 119th Congress
  • Advisory Clients
  • Atkins Era at the SEC
  • Biweekly Bulletin
  • Broker-Dealers
  • Capital Formation
  • Congress
  • crypto
  • Digital Assets
  • FINRA
  • FTX
  • House Financial Services Committee
  • International Clients
  • Investor Protection
  • Legislation
  • LXR Group Communications Consulting
  • LXR Group Developments
  • market structure
  • NASAA
  • Older Americans
  • Public Policies
  • Regulation Best Interest
  • RIA oversight
  • Securities and Exchange Commission
  • Senate Banking Committee
  • Year of the Snake
Recent Posts
  • House Subcommittee Probes Future of Data Privacy and “Open Banking” Amid CFPB Retreat from Section 1033 Rules
  • LXR Group International Client Visits – Summer 2025
  • House Financial Services Committee Votes to Approves H.R. 2441, The Improving Disclosure for Investors Act, after Complicated Colloquy.
  • Healthy Markets Association Urges SEC to “Restore Competitive Balance” in Letter Addressing the President’s Executive Order on Reducing Anti-Competitive Regulatory Burdens.
  • Hearing Report: “Exposing the Proxy Advisory Cartel: How ISS & Glass Lewis Influence Markets”

LXR Group

The LXR Group, LLC

800 Connecticut Ave, NW. Suite 300.
Washington, DC, 20006

202-410-5067

inquiries@lxrdc.com

  • Home
  • Consulting Services
  • Practice Areas
  • About
  • Blog
  • Contact Us
© 2025 LXR Group. All rights reserved. Website by Iris Business Intelligence, SEO Web Experts