Regulation BI, Form CRS, Adviser or Advisor, and Fiduciary Duties of Adviser -
In a flurry of proposed rulemaking that added up to more than 900 pages of reading material, the Securities and Exchange Commission (SEC)...more
7/5/2018
/ Best Interest Standard ,
Broker-Dealer ,
Choice of Entity ,
Conflicts of Interest ,
Disclosure Requirements ,
Fiduciary Duty ,
Financial Services Industry ,
Investment Adviser ,
Investment Management ,
Investment Products ,
Liquidity Risk Management Rule ,
Regulatory Oversight ,
Regulatory Requirements ,
Required Forms ,
Securities and Exchange Commission (SEC)
The Fifth Circuit on March 15 vacated U.S. Department of Labor (DOL) regulations that redefined the circumstances in which a person who provides investment advice in connection with a retirement plan or individual retirement...more
3/19/2018
/ Best Interest Contract Exemptions ,
Conflicts of Interest ,
Consumer Financial Products ,
Department of Labor (DOL) ,
Deregulation ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Fiduciary Rule ,
Financial Services Industry ,
Investment Adviser ,
Investment Management ,
Regulatory Oversight ,
Regulatory Reform ,
Retirement Plan ,
Trump Administration ,
Vacated
The U. S. Department of Labor (DOL) has reissued long-awaited proposed regulations describing the circumstances in which a person who provides investment advice in connection with a retirement plan or individual retirement...more