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125 results found


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


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


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


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


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


Osler Hoskin & Harcourt LLP | Canada | 14 Jul 2017

Division continues amongst Canadian securities regulators regarding best interest standard

Amid division across the Canadian securities regulators, the Ontario Securities Commission appears determined to move forward with a best interest


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


Ulmer & Berne LLP | USA | 6 Jun 2017

How The Fiduciary Rule May Impact Outside Business Activities

Because fixed annuities and fixed life insurance are not securities, many broker-dealers treat the sales of these products by their registered reps as


DLA Piper | USA | 2 May 2017

The Financial Report, 02 May 2017, US Securities and Exchange Commission Developments

The SEC has extended the deadline to submit comments on its request for public input regarding the disclosures required by Industry Guide 3,


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

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