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SEC Finalizes Best Interest Standard For Brokers, Related Disclosure Requirements, And Issues Interpretations Under The Advisers Act

USA - June 12 2019 On June 5, 2019, the Securities and Exchange Commission (SEC or Commission) voted 3-to-1 (Commissioner Robert J. Jackson Jr. Dissenting) to finalize...

Kate Jensen, Micah S. Green, Gary Goldsholle, Josh Oppenheimer, Sara Pikofsky, Martha Frydl, Melanie Nussdorf, Eric G. Serron, Paul J. Ondrasik Jr..

JACK Act Notice: What You Need to Know

USA - January 25 2019 You may have received a notice last night from the Clerk of the U.S. House of Representatives and the Secretary of the U.S. Senate regarding the...

Amanda Powell, Jason Abel.

DC Poised to Join the Ranks of Pay-to-Play Jurisdictions

USA - December 6 2018 On December 4, the DC Council unanimously approved its omnibus campaign finance reform legislation, whichamong other thingsseeks to reduce...

Chelsea Gold, Jason Abel.

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, Eric G. Serron.

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, Eric G. Serron.