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Investment Adviser Time Extensions

Foley & Lardner LLP

Securities and Exchange Commission Relief for Investment Advisers to Mitigate Challenges Caused by the Coronavirus

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The Securities and Exchange Commission (SEC) has recognized that coronavirus disease 2019 (COVID-19) has caused, and may cause, disruptions that limit investment advisers’ access to facilities, personnel, and third party...more

Proskauer - Tax Talks

Extension of FBAR Filing Deadline for Certain Filers

Proskauer - Tax Talks on

On December 20, 2019, the Financial Crimes Enforcement Network (“FinCEN”) issued Notice 2019-1, extending the filing deadline for the Report of Foreign Bank and Financial Accounts, FinCEN Form 114 (FBAR), for certain...more

Womble Bond Dickinson

Key Components of DOL Fiduciary Rule Delayed Through 2019

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On January 2, 2018, the U.S. Department of Labor postponed key provisions of its Fiduciary Rule for the next 18 months. The Fiduciary Rule was generally intended to expand the definition of who is considered a fiduciary,...more

A&O Shearman

US Department of Labor Extends Transition Period for Fiduciary Rule Exemption

A&O Shearman on

The US Department of Labor issued a notice extending the transition period for the Best Interest Contract exemption (the “BIC”), and other exemptions, from the prohibited transaction provisions of the Fiduciary Rule for an...more

Eversheds Sutherland (US) LLP

The Final Rule: Considerations and Analysis of the DOL’s 18-Month Transition Period Extension

By a notice published in the Federal Register on November 29, 2017, the Department of Labor (DOL) extended from January 1, 2018, until July 1, 2019, the date for compliance with the full conditions in its new “investment...more

Tucker Arensberg, P.C.

DOL Proposes Rule to Extend Applicability Date of BIC and Other Exemptions

The Department of Labor published a Proposed Rule to extend from January 1, 2018 to July 1, 2019, the applicability date of the Best Interest Contract (“BIC”) Exemption, the Class Exemption for Principal Transactions in...more

Katten Muchin Rosenman LLP

Sign of Future Changes? DOL Proposes 18-Month Extension of Transition Period for Compliance With ERISA "Fiduciary Investment...

On August 9, the US Department of Labor (DOL) announced in a court filing that it has proposed an 18-month extension of the full implementation of the Best Interest Contract Exemption (the "BIC Exemption") under the ERISA...more

Skadden, Arps, Slate, Meagher & Flom LLP

"FINRA Extends Deadline for SEC to Act on Proposed FINRA Pay-to-Play Rule"

On June 21, 2016, the Financial Industry Regulatory Authority extended the time for the Securities and Exchange Commission (SEC) to act on Proposed Rules 2030 and 4580 (the Proposed Rules) to August 26, 2016. The Proposed...more

Goodwin

Commerce Department Survey of Financial Services Transactions with Foreign Persons Due November 1, 2015

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The Commerce Department’s BE-180 Survey of Financial Services Transactions is a mandatory benchmark survey conducted every five years and administered by the Bureau of Economic Analysis (the “BEA”). Reports are required by...more

Foley Hoag LLP

Bureau of Economic Analysis (BEA) Issues New Form BE-180 for U.S. Financial Services Providers Including Investment Advisers

Foley Hoag LLP on

Now that the dust has settled a little on the BE-10 benchmark survey responses, U.S. financial service providers, including investment advisers, should take note that the U.S. Bureau of Economic Analysis (the “BEA”) has...more

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