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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...

Daniel S. Strashun.

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...

Daniel S. Strashun.

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...

Daniel S. Strashun.

NJ Bureau of Securities Issues Notice of Pre-Proposal on Uniform Fiduciary Standard for All NJ Investment Professionals

USA - October 16 2018 We are issuing the latest update to our series of Alerts regarding New Jersey’s ongoing efforts at establishing a uniform fiduciary standard......

Daniel S. Strashun.

NJ Bureau of Securities to Propose a Regulation Establishing a Uniform Fiduciary Standard for All NJ Investment Professionals

USA - October 11 2018 In the wake of the demise of the Department of Labor’s (“DOL”) fiduciary rule, New Jersey is going forward with a plan......

Daniel S. Strashun.