USA - January 12 2021
As 2020 came to a close, the issue of how digital asset securities can be custodied by US broker-dealers became clearer, at least from a regulatory…
John H. Walsh, Bria M. Adams, Eric A. Arnold, Cynthia R. Beyea, James M. Cain, Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler, Ben Marzouk, Alexa R. Shockley, Holly H. Smith
USA - January 4 2021
Department of Labor's Fiduciary Rule 3.0 Exemption and investment advice fiduciary definition December 2020 Introduction Department of Labor's…
Adam B. Cohen, Carol T. McClarnon, Eric A. Arnold, Dodie C. Kent, Clifford E. Kirsch, Michael B. Koffler
USA - October 29 2020
On October 7, 2020, the US Securities and Exchange Commission (SEC) proposed granting exemptive relief from the broker registration…
Issa J. Hanna, Michael B. Koffler, Alexa R. Shockley
USA - August 20 2020
As anticipated, this year has seen a number of fiduciary and best interest investment advice regulations at both the federal and state levels. Firms…
Carol T. McClarnon, W. Mark Smith, John H. Walsh, Bria M. Adams, Eric A. Arnold, Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler, Ben Marzouk, Alexa R. Shockley, Holly H. Smith
USA - July 7 2020
More than 3,500 days have passed since the US Department of Labor (DOL) upended the financial services industries with its first, self-initiated…
Adam B. Cohen, Carol T. McClarnon, Eric A. Arnold, Wilson G. Barmeyer, Bruce M. Bettigole, Nicholas T. Christakos, Thomas W. Curvin, Olga Greenberg, Issa J. Hanna, Dodie C. Kent, Clifford E. Kirsch, Michael B. Koffler, Ben Marzouk, S. Lawrence Polk