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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


McDermott Will & Emery | USA | 24 Apr 2018

DOL Less Likely to Appeal Fifth Circuit Ruling Vacating Expansion of Fiduciary Rule in Light of Recent SEC Guidance

In a recent 2-1 decision, the Fifth Court vacated the US Department of Labor’s controversial expansion of the ERISA fiduciary regulations (the New


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


Troutman Sanders LLP | USA | 26 Mar 2018

U.S. Court of Appeals for the Fifth Circuit Vacates Fiduciary Rule

Recently, the United States Court of Appeals for the Fifth Circuit vacated the Department of Labor’s (“DOL”) fiduciary investment


Proskauer Rose LLP | USA | 15 Mar 2018

Tenth Circuit Upholds DOL’s Authority to Impose New Conditions for PTEs and Leaves Door Open for Changes to Fiduciary Rule

The Tenth Circuit recently affirmed the Department of Labor’s authority to impose new conditions for exemption from prohibited transaction rules with


Morrison & Foerster LLP | USA | 12 Mar 2018

FINRA 2018 exam priorities: suitability and complex products remain front and center

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


Pillsbury | USA, United Kingdom, OECD, etc. | 12 Mar 2018

Annual Compliance Obligations What you Need to Know

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with


Steptoe & Johnson LLP | USA | 23 Feb 2018

State Enforcement Action Alleges Fiduciary Rule Violation

On February 15, the Commonwealth Securities Division (Massachusetts’ securities regulator), filed an administrative enforcement action against


Drinker Biddle & Reath LLP | USA | 6 Nov 2017

SEC Issues MiFID II No-Action Relief and Allays Various Cross-Border Concerns

On January 3, 2018, the European Union (EU) Markets in Financial Instruments Directive (MiFID II) will require, for impacted EU parties, that research


Burr & Forman LLP | USA | 30 Oct 2017

Morgan Stanley Exits, Slams Protocol as “Unsustainable”

Morgan Stanley announced October 30 that it would exit the Protocol for Broker Recruiting, as part of strategy “to refocus recruiting resources on

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