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Recommending Rollovers in the Evolving Regulatory Environment (Part 2)

USA - September 18 2018 In our first post on this topic, we discussed the existing rules that apply to rollover recommendations by broker-dealers and RIAs. This discussion...

Fred Reish.


Recommending Rollovers in the Evolving Regulatory Environment (Part 1)

USA - August 9 2018 With recent developments in the regulatory landscape - the demise of the DOL Fiduciary Rule, the SEC’s proposed Regulation Best Interest (Reg BI) and...

Fred Reish.


The Fate of the Fiduciary Rule: What is Not Affected

USA - April 30 2018 While we won’t know until the end of the month whether the DOL fiduciary rule will survive beyond May 7, there are some activities that won’t be...

Fred Reish, Joan M. Neri.


Bye-Bye Fiduciary Rule?

USA - March 26 2018 Should you say goodbye to the Fiduciary Rule? Maybe, but not just yet. The DOL has until the end of April to decide whether to let the 5th Circuit...

Sandra D. Grannum, Fred Reish, Joshua J. Waldbeser, Joan M. Neri.


Fifth Circuit Vacates Fiduciary Rule

USA - March 20 2018 Last week, a three-judge panel of the Fifth Circuit Court of Appeals issued a 2-1 decision vacating the DOL Fiduciary Rule. The decision is sweeping:...

Sandra D. Grannum, Fred Reish, Joshua J. Waldbeser, Joan M. Neri, Bradford P. Campbell.