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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


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


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


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


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


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


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


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


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


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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