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Fiduciary Rule: June 9 & Beyond

USA - June 9 2017 On May 22, Department of Labor (DOL) Secretary Alexander Acosta announced that, despite President Trump’s memorandum ordering further analysis of the...

Andrew B. Sachs, Sarah N. Lowe, R. Sterling Perkinson.


SEC proposes changes to Form ADV

USA - June 18 2015 On May 20, 2015, the Securities and Exchange Commission (the "SEC") issued a rulemaking proposal that will likely lead to significant changes in the...

Jeffrey T. Skinner, Paul J. Foley.


SEC provides No-Action relief for M&A Brokers

USA - February 28 2014 On January 31, the staff of the Securities and Exchange Commission ("SEC") issued a no-action letter ("No-Action Letter") permitting an "M&A...

Mattew S. Chambers, Andrew B. Sachs, Jeffrey T. Skinner, Paul J. Foley, Katherine A. McCurry.


New Department of Labor regulations offer more investment advisers the opportunity to provide advice to participants in 401(k) plans and IRAs

USA - January 6 2012 On December 27, 2011, new DOL regulations (the New Regulations) designed to encourage more financial advisers to offer investment advice to participants in participant-directed individual account plans (e.g., 401(k) plans) and individual retirement account (IRA) beneficiaries took effect....

Andrew B. Sachs, Jeffrey T. Skinner, Chen Fan Fu, Paul J. Foley, Matthew S. Chambers.


Deadline for meeting the new investment adviser regulatory requirements under the Dodd-Frank Act is quickly approaching

USA - September 20 2011 On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), which, among other things, significantly amended the regulatory requirements applicable to investment advisers under the Investment Advisers Act of 1940 (the Advisers Act)....

Mattew S. Chambers, Andrew B. Sachs, Jeffrey T. Skinner, Chen Fan Fu, Paul J. Foley.