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Goodwin

SEC Releases 2021 Examination Priorities

Goodwin on

In this Issue. The U.S. Securities and Exchange Commission (SEC) Division of Examinations released its 2021 Examination Priorities and issued a risk alert noting that “Digital Asset Securities” entail characteristics and...more

Bowditch & Dewey

Obama’s DOL Fiduciary Rule Fades into the Distance

Bowditch & Dewey on

If you have an account in a retirement plan where you work or you own an Individual Retirement Account, you may get financial advice about the assets in your account from an investment advisor, broker, planner, or insurance...more

Dechert LLP

Drip Drip Drip - Is the DOL's Fiduciary Rule Slowly Going Down the Drain?

Dechert LLP on

The U.S. Department of Labor (the “DOL”) today (August 9, 2017) submitted a Notice of Administrative Action in the Thrivent v. Acosta litigation (D. Minn.). The Notice relates to the final regulation that defines who is a...more

Dechert LLP

ERISA's Fiduciary Rule – Not Dead Yet, Not Dead . . . Ever?

Dechert LLP on

It has been a long and winding road for the amended fiduciary regulation (the "Regulation") of the U.S. Department of Labor (the "DOL") under the Employee Retirement Income Security Act of 1974 ("ERISA"). The highly...more

Proskauer - Not for Profit/Exempt...

Update on the Department of Labor’s New Fiduciary Rules and Subsequent Challenges

Proskauer - Not for Profit/Exempt... on

On April 6, 2016, the Department of Labor under the Obama administration issued a new final rule and exemptions addressing when a person providing investment advice with respect to an employee benefit plan or individual...more

Skadden, Arps, Slate, Meagher & Flom LLP

"DOL Finalizes Delay of Conflict of Interest Rule"

Skadden, Arps, Slate, Meagher & Flom LLP on

On April 4, 2017, the Department of Labor (DOL) released its final rule providing a 60-day delay of the April 10, 2017, applicability date of its conflict of interest regulation (the so-called fiduciary rule) and related...more

Proskauer - Employee Benefits & Executive...

DOL Fiduciary Rule Delayed, But At Least Parts Might Be Here to Stay

Proskauer - Employee Benefits & Executive... on

On April 4, 2017, the U.S. Department of Labor issued a final rule postponing applicability of the conflict of interest rule and related exemptions for sixty days, until June 9, 2017...more

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