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SEC Proposes "Regulation Best Interest" Increasing the Obligations Owed by Broker-Dealers and Investment Professionals to Their Retail Customers

USA - April 19 2018 The SEC on Wednesday proposed a set of rules seeking to clarify and strengthen duties and obligations owed to retail customers by broker-dealers and…

Alise Johnson Henry, Leonel Peraza, Jr..

Department Of Labor Approves 18 Month Delay Of The Effective Date For The Best Interest Contract Exemption

USA - November 28 2017 We are issuing the latest update to our series of Alerts regarding the final rules issued by the Department of Labor (“DOL”) with respect to…

House Financial Services Committee Approves PASS Act Of 2017 Repealing ERISA Fiduciary Rule And Establishing Best Interest Standard Of Conduct

USA - October 13 2017 We are issuing the latest update to our series of Alerts regarding the final rules issued by the Department of Labor ("DOL") with respect to…

Department of Labor Proposes an 18 Month Delay of the January 1, 2018 Applicability Date of the Best Interest Contract Exemption

USA - August 10 2017 We are issuing the latest update to our recent Alerts regarding the final rules issued by the Department of Labor (“DOL”) with respect to fiduciaries…

House of Representatives Approves Financial Choice Act of 2017 Repealing ERISA Fiduciary Rule and Best Interest Contract Exemption

USA - June 9 2017 We are issuing the latest update to our recent Alerts regarding the final rules issued by the Department of Labor ("DOL") with respect to fiduciaries…