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Article

Sidley Austin LLP | USA | 13 Jun 2019

SEC Adopts Regulation Best Interest and Form CRS; Issues Investment Advisers Act Interpretations

On June 5, 2019, the U.S. Securities and Exchange Commission (SEC), by a 3-1 vote, adopted two rules and two interpretations related to the standard

Article

Sidley Austin LLP | USA | 11 Dec 2018

Regulatory Update: NAIC Fall 2018 National Meeting

The National Association of Insurance Commissioners (NAIC) held its Fall 2018 National Meeting (Fall Meeting) in San Francisco, California, from

Article

Sidley Austin LLP | USA | 24 Aug 2018

Regulatory Update: NAIC Summer 2018 National Meeting

The National Association of Insurance Commissioners (NAIC) held its Summer 2018 National Meeting in Boston, Massachusetts, from August 4 to 7, 2018

Article

Sidley Austin LLP | USA | 23 Aug 2018

NAIC Continues to Develop “Suitability Plus” Standard that Would Apply to Annuity (But Not Life Insurance) Transactions

Notwithstanding the decision of the Fifth Circuit Court of Appeals, which vacated the U.S. Department of Labor's regulations expanding the definition

Article

Sidley Austin LLP | USA | 12 Jul 2018

Investment Funds, Advisers and Derivatives - Mid-Year Recap of Our 2018 Client Updates

As the developments affecting the investment management industry continue to unfold, we have once again prepared our semi-annual compendium of

Article

Sidley Austin LLP | USA | 9 May 2018

SEC Proposes New Standard of Care for Broker-Dealers: Overview and Considerations for Investment Professionals

On April 18, 2018, the U.S. Securities and Exchange Commission (SEC) released for comment three proposals intended to enhance the standard of

Article

Sidley Austin LLP | USA | 22 Mar 2018

Fifth Circuit Vacates U.S. Department of Labor Fiduciary Rule

On Thursday, March 15, 2018, in a two-to-one decision, the U.S. Court of Appeals for the Fifth Circuit vacated the Department of Labor’s (DOL)

Article

Sidley Austin LLP | USA | 12 Dec 2017

The DOL Fiduciary Rule: 18-Month Extension of Transition Period

On November 29, 2017, the Department of Labor (DOL) announced an 18-month extension, from January 1, 2018 to July 1, 2019, of the special transition

Article

Sidley Austin LLP | USA | 2 Dec 2016

DOL Appeals Overtime Rule Injunction

Last week, we informed you of the Eastern District of Texas's November 22, 2016 decision preliminarily enjoining the Department of Labor's

Article

Sidley Austin LLP | USA | 23 Nov 2016

Nationwide Injunction Issued By The Eastern District of Texas Puts DOL’S Overtime Pay Regulation On Hold

Yesterday, November 22, President Obama appointee Amos L. Mazzant of the United States District Court for the Eastern District of Texas issued a

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