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42 results found

Article

McGuireWoods LLP | USA | 29 Sep 2017

Securities and Enforcement Update

On Sept. 26, 2017, Securities and Exchange Commission Chairman Jay Clayton testified before the Senate Committee on Banking, Housing and Urban Affairs

Article

Faruki PLL | USA | 8 Jun 2017

Department of Labor to Close ERISA’s “Broker Dealer” Loophole

President Trump's pronounced distaste for financial regulations placed the fiduciary duty into the national spotlight earlier this year when the

Article

Bressler, Amery & Ross PC | USA | 5 May 2017

House Financial Services Committee Approves Revised Bill Repealing ERISA Fiduciary Rule and Best Interest Contract Exemption

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

Article

Morgan Lewis | USA | 10 Apr 2017

DOL Fiduciary RuleSlowed Down, but Not Out

The Department of Labor (DOL) has issued in final form its eagerly awaited delay of changes to the fiduciary investment advice regulation, commonly

Article

Bressler, Amery & Ross PC | USA | 1 Mar 2017

DOL Proposes a 60-Day Delay of the April 10, 2017 Applicability Date of the Fiduciary Rule and Best Interest Contract Exemption

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

Article

Vedder Price PC | USA | 28 Feb 2017

SEC Interpretive Letter Permits Brokers to Charge Commissions on Sales of "Clean Shares" of Mutual Funds

On January 11, 2017, the staff of the SEC's Division of Investment Management issued an interpretive letter (the Interpretive Letter) expressing its

Article

Bressler, Amery & Ross PC | USA | 7 Feb 2017

President Trump Issues Memorandum Ordering a Review, But Not a Delay, of the Department of Labor's Fiduciary Rule

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

Article

Dechert LLP | USA | 26 Jan 2017

SEC 2017 Examination Priorities Focus on Retail Investors, Seniors and Retiring Investors, and Market-Wide Risk Assessment

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) on January 12, 2017 announced its

Article

Bressler, Amery & Ross PC | USA | 9 Jan 2017

Legislation to Delay Implementation of ERISA Fiduciary Rule and Best Interest Contract Exemption Introduced in Congress

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

Article

Dechert LLP | USA | 30 Aug 2016

Navigating the DOL’s New Fiduciary Rules: A Game Plan for Broker-Dealers

This OnPoint focuses on the new and amended fiduciary investment advice regulations issued by the U.S. Department of Labor (DOL) and accompanying

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