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Digital asset securities: broker-dealer custody issues

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

Department of Labor’s Fiduciary Rule 3.0 Exemption and investment advice fiduciary definition

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

SEC proposes exempting certain finders from broker registration

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

The emerging patchwork of fiduciary investment advice regulation - Putting the pieces together

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

Department of Labor’s Fiduciary Proposal 3.0

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