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SEC Proposes Best Interest Standard for Retail Accounts and Related Disclosure Requirements

USA - April 26 2018 On April 18, the Securities and Exchange Commission (SEC or Commission) voted 4-to-1 to propose a set of new rules intended to: (1) create a “best...

Timothy A. Work, Joni Andrioff, Kate Jensen, Micah S. Green, Christopher R. Conte, Patrick S. Menasco, Melanie Nussdorf, Scott A. Sinder.


State Enforcement Action Alleges Fiduciary Rule Violation

USA - February 23 2018 On February 15, the Commonwealth Securities Division (Massachusetts’ securities regulator), filed an administrative enforcement action against...

Timothy A. Work, Patrick S. Menasco, Melanie Nussdorf, Paul J. Ondrasik Jr..


Department of Labor Issues Request for Information on Fiduciary Rule

USA - July 5 2017 On June 29, 2017, the Department of Labor (Department) issued a Request for Information (RFI) related to its examination of the final rule defining...

Kate Jensen, Jennifer G. Krengel, Melanie Nussdorf, Scott A. Sinder.


DOL Publishes Proposal to Delay Fiduciary Rule

USA - March 2 2017 Today, the Department of Labor (DOL) published a proposed rule to delay the April 10 applicability date of the final fiduciary rule and related...

Kate Jensen, Melanie Nussdorf, Scott A. Sinder.


New DOL Enforcement Focus on Mental Health and Substance Use Disorder Parity

USA - June 6 2016 The Obama Administration’s focus on the problems of mental health and substance use disorders continues to intensify. In late 2015, President Obama...

Joni Andrioff, Jennifer G. Krengel, Edward Thomas Veal, Edward R. Mackiewicz, Don Wellington.