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Morgan Lewis | USA | 27 Jun 2019

In Focus: SEC Form CRS Roadmap - How to Navigate Its Operational Challenges

To help retail investors better understand the services, fees, costs, conflicts of interest, and required standards of conduct that apply to


Morgan Lewis | USA | 19 Jun 2019

Update on State Fiduciary Duty Regulations

As Massachusetts steps up to the plate, New Jersey extends comment period and announces public hearing. Just as the comment period on New Jersey’s


Morgan Lewis | USA | 20 Sep 2018

Plan Distribution and Rollover Guidance After Chamber of Commerce v. US Department of Labor

This paper examines how a plan service provider (such as a trustee, record-keeper, broker-dealer, or investment adviser) can offer participant-level


Morgan Lewis | USA | 20 Mar 2018

Fifth Circuit Vacates DOL Fiduciary Rule ‘In Toto’

In a 2-1 decision, the US Court of Appeals for the Fifth Circuit struck down the US Department of Labor's (DOL) fiduciary rule, deciding in favor


Morgan Lewis | USA | 30 Nov 2017

It’s Official! DOL Finalizes Delay

The Fiduciary Rule transition period is extended until mid-2019, with financial institutions having flexibility in complying with the impartial


Morgan Lewis | USA | 6 Sep 2017

DOL Issues Proposed Delay of Fiduciary Rule Compliance Date and Enforcement Relief

The US Department of Labor (DOL) has proposed to delay the applicability of additional conditions of the Best Interest Contract (BIC) exemption


Morgan Lewis | USA | 11 Aug 2017

DOL Issues Additional Fiduciary Rule Transition FAQs

The US Department of Labor (DOL) has released an additional set of three frequently asked questions (FAQs) to address further inquiries in light of


Morgan Lewis | USA | 10 Aug 2017

DOL to Propose Extension of Fiduciary Rule Transition Period

The proposal is expected to delay additional conditions of exemptions from January 1, 2018 to July 1, 2019, but the ultimate length of delay will not


Morgan Lewis | USA | 30 Jun 2017

DOL Seeks Additional Comments on Fiduciary Rule

The US Department of Labor (DOL) released its “Request for Information Regarding the Fiduciary Rule and Prohibited Transaction Exemptions” on June 29


Morgan Lewis | USA | 7 Jun 2017

DOL Fiduciary Rule: Ready, Set, Go! But How Far?

The DOL has issued transition FAQs and a nonenforcement policymeanwhile, here comes the SEC. Just 18 days ahead of the fiduciary rule’s June 9

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