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DOL Proposes Delay of Fiduciary Rule Applicability Date

USA - March 1 2017 The Department of Labor (DOL) today announced a proposed 60-day delay of the April 10, 2017, applicability date of its conflicts of interest...

Jeffrey A. Lieberman.


Trump Directs Department of Labor to Review Fiduciary Rule

USA - February 6 2017 By a memorandum to the acting Secretary of Labor signed on Friday, February 3, 2017, President Trump formally directed the Department of Labor...

Jeffrey A. Lieberman.


Change in Administration Presents Opportunity to Revisit DOL Fiduciary Rule

USA - January 28 2017 In 2016, regulatory developments introduced fundamental changes in the legal standards that govern the relationship of broker-dealers with their...

Jeffrey A. Lieberman, Christopher M. Gandia.


Bulk Transfers of Accounts in Broker-Dealer M&A: Regulatory Developments

USA - January 18 2016 The volume of acquisitions involving broker-dealer firms continues to increase as the industry experiences further consolidation and realignment. In...

David E. Barrett, Jonathan Dhanawade.


Broker-dealer M&A transactions: toward a more accommodating regulatory process

USA - January 22 2015 M&A transactions involving regulated broker-dealers often require Financial Industry Regulatory Authority (FINRA) approval under NASD Rule 1017. Such...

David E. Barrett, Lester Chen.