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Results:1-10 of 388

State Activity in the Wake of The DOL Fiduciary Rule
  • Bressler, Amery & Ross PC
  • USA
  • September 21 2018

The New Jersey Legislature has pending bills which would require Non-Fiduciary Disclosures. Both bills were introduced in


SEC Proposes Rules Addressing Broker-Dealer and Investment Adviser Standards of Conduct
  • Dechert LLP
  • USA
  • April 25 2018

The SEC proposed a new standard of conduct for broker-dealers under the Securities Exchange Act of 1934 (Exchange Act), which would require a


Reverse-Churning: BDs Are Damned If They Do, And Damned If They Don’t
  • Ulmer & Berne LLP
  • USA
  • April 10 2018

A couple of years ago, I blogged about the concept of “reverse churning,” i.e., putting a customer who trades only infrequently into a fee-based


FINRA 2018 exam priorities: suitability and complex products remain front and center
  • Morrison & Foerster LLP
  • USA
  • March 12 2018

In January 2018, FINRA released its annual examination priorities letter. The letter addresses a variety of areas that are important to U.S


SEC Announces Examination Priorities for 2018
  • Haynes and Boone LLP
  • USA
  • February 16 2018

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) has announced its 2018 examination priorities. The


DOL officially delays remainder of fiduciary rule 18 months
  • Greensfelder, Hemker & Gale, P.C.
  • USA
  • November 28 2017

The Department of Labor (DOL) on Nov. 27 finalized an 18-month delay of the remainder of the fiduciary rule. The rule delaying the enforcement


DOL Finalizes 18-Month Extension of Fiduciary Rule Transition Period
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • November 28 2017

The Department of Labor (DOL) finalized the Fiduciary Rule’s transition period extension from January 1, 2018 to July 1, 2019, as it had previously


Department Of Labor Approves 18 Month Delay Of The Effective Date For The Best Interest Contract Exemption
  • Bressler, Amery & Ross PC
  • USA
  • November 28 2017

We are issuing the latest update to our series of Alerts regarding the final rules issued by the Department of Labor (“DOL”) with respect to


House Financial Services Committee Approves PASS Act Of 2017 Repealing ERISA Fiduciary Rule And Establishing Best Interest Standard Of Conduct
  • Bressler, Amery & Ross PC
  • USA
  • October 13 2017

We are issuing the latest update to our series of Alerts regarding the final rules issued by the Department of Labor ("DOL") with respect to


Will The Fiduciary Rule Live on Even if it is Repealed?
  • Burr & Forman LLP
  • USA
  • May 19 2017

The Department of Labor fiduciary rule was supposed to be implemented on April 10, 2017. That date was pushed back to June 9 so that it could be