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Broker-dealers selling annuities: preparing for the best interest standard under New York's amended Insurance Regulation 187

USA - February 14 2019 Broker-dealers selling annuity products in New York will soon need to comply with new best interest requirements imposed by New York's amended...

Ben Marzouk, Sarah Razaq Sallis, Stephen E. Roth, Amber S. Unwala, Bria M. Adams, S. Lawrence Polk, Holly H. Smith, Wilson G. Barmeyer, Adam B. Cohen, W. Mark Smith, John H. Walsh, Michael B. Koffler, Brian L. Rubin, Cynthia R. Shoss, Carol T. McClarnon, Bruce M. Bettigole, Olga Greenberg.


FINRA’s 529 plan share class initiative

USA - February 7 2019 On January 28, 2019, the Financial Industry Regulatory Authority, Inc. (FINRA) launched its 529 Plan Share Class Initiative (the Initiative) to...

Cynthia R. Beyea, Ben Marzouk, Issa J. Hanna, Sarah Razaq Sallis, Ronald D. Coenen, Jr., Rebekah R. Runyon, Amber S. Unwala, Bria M. Adams, Holly H. Smith, John H. Walsh, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Brian L. Rubin.


The far reach of state law - Nevada proposes fiduciary duty regulations for broker-dealers and investment advisers

USA - January 28 2019 Under Nevada law, financial planners owe a fiduciary duty to their clients.1 In accordance with this duty, a financial planner must disclose, at the...

Ben Marzouk, Issa J. Hanna, Stephen E. Roth, Amber S. Unwala, Bria M. Adams, S. Lawrence Polk, Holly H. Smith, Wilson G. Barmeyer, W. Mark Smith, John H. Walsh, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Brian L. Rubin, Carol T. McClarnon, Bruce M. Bettigole, Olga Greenberg.


The SEC’s litigation against a firm for allegedly inadequate disclosure of shareholder service fees and 12b-1 fees

USA - January 28 2019 During the past several years, the US Securities and Exchange Commission (SEC) has settled more than a dozen cases where the SEC alleged (with the...

Sarah Razaq Sallis, Neil S. Lang, Amber S. Unwala, S. Lawrence Polk, Amelia Toy Rudolph, Holly H. Smith, W. Scott Sorrels, Patricia A. Gorham, John H. Walsh, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Brian L. Rubin, Bruce M. Bettigole, Peter J. Anderson, Olga Greenberg.


Legal Alert: Standards of conduct for investment professionals - overlapping protections for broker-dealer retirement customers

USA - October 15 2018 The legal standards for broker-dealer firms (BDs) and their representatives, particularly in the retirement market, continue to be in flux. BDs were...

Ben Marzouk, Allison E. Wielobob, Issa J. Hanna, Stephen E. Roth, Sue (Seung Hyun) Lee, Amber S. Unwala, Bria M. Adams, S. Lawrence Polk, Holly H. Smith, Wilson G. Barmeyer, W. Mark Smith, John H. Walsh, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Brian L. Rubin, Carol T. McClarnon, Bruce M. Bettigole, Olga Greenberg.