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Fifth Circuit Opinion Vacates DOL Fiduciary Rule

USA - April 18 2018 The U.S. Court of Appeals for the Fifth Circuit on March 15, 2018 issued an opinion (Opinion) vacating the Department of Labor (DOL) fiduciary rule...

K. Susan Grafton, Mark D. Perlow, Christine Ayako Schleppegrell, Katherine Shorey, Joshua D. N. Hess, Andrew L. Oringer, Stephanie A. Capistron.


Establishing a European ETF

European Union - October 9 2017 An exchange traded fund (ETF) is an investment fund that is structured to allow intra-day trading of its shares on a stock exchange using real time...

Ari M. Zak, John V. O'Hanlon, Karen L. Anderberg, Stuart Strauss, Christopher P. Harvey, Adam T. Teufel, Allison M. Fumai, Stephanie A. Capistron.


SEC Staff No Longer Requires “Tandy” Representations in Filing Reviews

USA - October 10 2016 The staff of the U.S. Securities and Exchange Commission (SEC) announced on October 5, 2016 that, with immediate effect, it will no longer require...

Margaret A. Bancroft, Aaron D. Withrow.


The New DOL Fiduciary Rule: Impact on Mutual Fund Distribution

USA - August 30 2016 The U.S. Department of Labor (DOL) has issued the final version of its "investment advice" regulation (Final Rule), which is widely expected to...

Mark D. Perlow, Christine Ayako Schleppegrell, Jack W. Murphy, Susan M. Camillo, Andrew L. Oringer.


The New DOL Fiduciary Rule: Impact on Mutual Fund Distribution

USA - August 30 2016 The Department of Labor (DOL) has issued the final version of its "investment advice" regulation (Final Rule), which is widely expected to impact...

Mark D. Perlow, Christine Ayako Schleppegrell, Jack W. Murphy, Susan M. Camillo, Andrew L. Oringer.