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New Jersey Debates Broker Conduct Standards In The Reg BI Era

USA - July 24 2019 This Client Alert updates our previous commentary regarding New Jersey’s efforts to establish a fiduciary duty applicable to all broker-dealers and…

David J. Libowsky.

SEC Publishes Best Practices To Protect Senior Investors

USA - June 4 2019 The Securities and Exchange Commission’s Office of Investor Advocate recently published an overview of the SEC’s efforts to protect senior investors…

Logan S. Fisher.

NJ Fiduciary Rule Would Add To Investment Firms' Burdens

USA - May 1 2019 New Jersey has issued a proposal for a new rule that would institute a uniform fiduciary standard for broker-dealers and investment advisers…

David J. Libowsky.

For 2019: 10 Takeaways From The Country's "Seniors" Laws

USA - January 10 2019 On January 1, 2019, Alaska became the 21st state with a “report and hold” law. Report and hold laws provide a protocol for broker-dealers and…

Richard C. Szuch.

Adoption Of Uniform Fiduciary Standard Debated At Two Public Hearings Held By The New Jersey Bureau Of Securities

USA - November 29 2018 Daniel S. Strashun Related Services Insurance Securities Regulatory Defense and Compliance Following the October 15, 2018 issuance of a Notice of…

David J. Libowsky.