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Proposed Regulation BI coverage of retirement investors

USA - March 5 2019 There is some debate about the intended scope of Regulation Best Interest (Regulation BI) as proposed by the Securities and Exchange Commission (SEC)...

Ben Marzouk, Issa J. Hanna, Eric A. Arnold, 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, Clifford E. Kirsch, Michael B. Koffler, Brian L. Rubin, Cynthia R. Shoss, Carol T. McClarnon, Bruce M. Bettigole, Olga Greenberg.


The best interest standard under FINRA’s suitability rule

USA - February 26 2019 In connection with the US Securities and Exchange Commission's (SEC) proposed Regulation Best Interest, the Financial Industry Regulatory Authority...

Ben Marzouk, Issa J. Hanna, Eric A. Arnold, Sarah Razaq Sallis, Amanda R. Giffin, Melissa L. Fox, 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, Clifford E. Kirsch, Michael B. Koffler, Brian L. Rubin, Cynthia R. Shoss, Carol T. McClarnon, Bruce M. Bettigole, Olga Greenberg.


New York Circular Letter No. 1 (2019) takes aim at accelerated underwriting

USA - February 26 2019 On January 18, 2019, the New York Department of Financial Services (NYDFS) issued a circular letter to all insurers authorized to write life...

David Hancock, Alexander F. L. Sand, Michael Bahar, Stephen E. Roth, Phillip E. Stano, John S. Pruitt, Cynthia R. Shoss, Mary Jane Wilson-Bilik.


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, Eric A. Arnold, 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, 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, Eric A. Arnold, 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, Brian L. Rubin, Carol T. McClarnon, Bruce M. Bettigole, Olga Greenberg.