The Clients’ Waiver of Their Rights Under Regulation BI of the Securities and Exchange Commission

TAMAR FRANKEL

BU Law emerita professor Tamar Frankel discusses the Securities and Exchange Commission (SEC)’s Regulation Best Interest (BI), which imposes on broker-dealers a commitment to act in the best interests of their clients. Specifically, Frankel addresses the SEC’s treatment of client waivers of the Regulation BI, which goes even further than general fiduciary law to prohibit any waiver of the broker-dealer’s conflicting interests.

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Ford v. Saul

Docket: 18-35794

Opinion Date: February 20, 2020

Judge: Sandra S. Ikuta

Areas of Law: Public Benefits

The Ninth Circuit affirmed the district court's decision upholding the SSA's denial of the claimant's application for disability benefits under Titles II and XVI of the Social Security Act. The panel held that the ALJ properly provided specific and legitimate reasons for discounting the opinions of claimant's physicians, correctly concluded that claimant's impairments did not meet a listing, and was entitled to rely on the vocational expert's testimony despite the expert's failure to provide information about the sources underlying the testimony.