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567 results found

Article

Eversheds Sutherland (US) LLP | USA | 15 Oct 2018

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

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

Article

Proskauer Rose LLP | USA | 26 Jun 2018

As DOL Fiduciary Rule is Officially Vacated, Focus Shifts to SEC

After nearly a decade in the making, the Department of Labor’s fiduciary rule appears to be officially dead. On June 21st, the U.S. Court of Appeals

Article

Sheppard Mullin Richter & Hampton LLP | USA | 26 Jun 2018

Regulation Best Interest: The SEC’s Responds to the DOL’s Fiduciary Rule

On April 18, 2018, the Securities and Exchange Commission published its proposed Regulation Best Interest. Regulation Best Interest would require

Article

Drinker Biddle & Reath LLP | USA | 14 Jun 2018

Why Fiduciary Status Still Matters in a Post-Fiduciary Rule World: A Look at Prohibited Transactions And Compensation

In a previous post, we discussed why broker-dealers and their representatives will likely still be fiduciaries to ERISA plans and IRA investors in

Article

Latham & Watkins LLP | USA | 16 May 2018

Is the SEC’s Proposed “Best Interest” Standard for Broker-Dealers in Anyone’s Best Interest?

Proposal seeks to clarify and enhance obligations applicable to a broker-dealer’s retail customer interactions, but may raise more questions than

Article

Dechert LLP | USA | 9 May 2018

Ding Dong - The Amended Fiduciary Rule Is (Almost) Dead

Furthermore, on May 7, 2018, in Field Assistance Bulletin 2018-02, the Department of Labor referred to the mandate in a manner that may indicate that

Article

Steptoe & Johnson LLP | USA | 26 Apr 2018

SEC Proposes Best Interest Standard for Retail Accounts and Related Disclosure Requirements

On April 18, the Securities and Exchange Commission (SEC or Commission) voted 4-to-1 to propose a set of new rules intended to: (1) create a “best

Article

Cadwalader Wickersham & Taft LLP | USA | 26 Apr 2018

Choose One: Best Interest or Full Service

On April 18, the SEC approved the publication of three releases (the "Releases") proposing new regulatory requirements that are intended to expand and

Article

Shearman & Sterling LLP | USA | 24 Apr 2018

Raising the Bar? SEC Proposes Broker-Dealer Standard of Care and Guidance on Investment Advisers’ Fiduciary Standard

On April 18, 2018, the U.S. Securities and Exchange Commission (“SEC”) took the long-awaited step of proposing rules, interpretations and guidance

Article

Mintz | USA | 11 Apr 2018

Fifth Circuit Court of Appeals Invalidates the 2016 Final Department of Labor Fiduciary Rule and Related Prohibited Transaction Exemptions

What’s a financial advisor to do? On March 15, 2018, the Fifth Circuit Court of Appeals in Chamber of Commerce of the U.S. v. U.S. Dep’t. of Labor, No

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