Fiduciary Duty, Dodd-Frank | JD Supra Law News

SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers

by Janet M. Angstadt, Avi Badash | Katten Muchin Rosenman LLP on 3/13/2013

The Securities and Exchange Commission issued a request for data and other information that the SEC will review while considering alternative standards of conduct for broker-dealers and investment advisers when they provide...more

One Step Closer to a Fiduciary Duty for Broker-Dealers?

by Jay G. Baris, Hillel Cohn, Kelley A. Howes | Morrison & Foerster LLP on 3/7/2013

More than two years after an SEC Staff study recommended adoption of a uniform fiduciary standard for broker-dealers and investment advisers, the SEC has taken its first significant step towards possible implementation of the...more

DOL Clarifies Application of ERISA Rules to Cleared Swaps

by Daniel Kleinman, Michael Richman | Morgan Lewis on 2/15/2013

New guidance defers to the Dodd-Frank/CFTC framework for regulating the swaps clearing process. On February 7, the U.S. Department of Labor (DOL) issued an advisory opinion on the application of the ERISA fiduciary rules...more

Swapping Uncertainty for Clarity – U.S. Department of Labor Issues ERISA Opinion on Swaps

by Susan M. Camillo, Andrew L. Oringer | Dechert LLP on 2/15/2013

Much of the investment capital in the U.S. market is in retirement plans subject to the Employee Retirement Income Security Act of 1974 (“ERISA”). Over the years, an important element of a number of plans’ investment...more

New Rules Coming into Effect Affect Retirement Plans Entering into Swaps

by King & Spalding on 2/5/2013

New rules affecting ERISA-covered retirement plans entering into swap transactions will come into effect in May 2013. These rules, known as the “Business Conduct Standards,” implement certain provisions of the Dodd-Frank...more

Inside The Courts - December 2012

by Jay Kasner, Matthew Matule, Edward Micheletti, Peter Morrison, Charles Smith | Skadden, Arps, Slate, Meagher & Flom LLP on 1/7/2013

This issue of Inside the Courts, Skadden's securities litigation newsletter, includes summaries and associated court opinions of selected noteworthy cases principally decided from July to November 2012. This edition addresses...more

A Compilation of Enforcement and Non-Enforcement Actions - December 28, 2012

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 12/28/2012

In This Issue: Non-Enforcement Matters: - New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program - FINRA Rule 5123 Revisited Enforcement Matters: - SEC Accuses...more

Smith Anderson Obtains Dismissal of Dodd-Frank Act “Say on Pay” Claims

by Isaac Linnartz, K. Alan Parry, Donald H. Tucker, Jr | Smith, Anderson, Blount, Dorsett, Mitchell &... on 10/1/2012

In a groundbreaking new decision, the United States District Court for the Eastern District of North Carolina has dismissed “say on pay” claims against officers and directors of Dex One Corporation. Smith Anderson served as...more

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Fiduciary Duty › Dodd-Frank Wall Street Reform and Consumer Protection Act