In a speech on May 2, 2018 regarding the SEC’s recent proposed broker-dealer standard of conduct, Jay Clayton, Chair of the Securities and Exchange
In the third release comprising part of the package of proposed rules and forms related to broker-dealers' and investment advisers' standards of
At an open meeting held earlier today, the SEC voted 4-1 to propose a package of rules, forms, and guidance designed to define a new “best interest”
On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the “Division”) of the Office of the Secretary of the
In connection with the Department of Labor’s (“DOL”) fiduciary rule (the “Fiduciary Rule”), key provisions of which became applicable on June 9, 2017
On January 13, 2017, the U.S. Department of Labor...
On January 13, 2017, the U.S. Department of Labor ("DOL") issued a second set of guidance on its new...
In our recent Client Alert, we wrote about the Financial Industry Regulatory Authority, Inc.'s proposed changes to Rule 2210, Communications with the
On September 13, 2016, the House Financial Services Committee of the United States House of Representatives (the "FSC")1 formally released H.R. 5983
As part of the Commission’s Digital Single Market initiative, the European Commission has published a draft Regulation aimed at preventing traders