News & Analysis as of

Individual Retirement Account (IRA) Rulemaking Process

Seyfarth Shaw LLP

SEC Imposes New Standard for Broker-Dealer Investment Advice

Seyfarth Shaw LLP on

On June 5, 2019, the Securities and Exchange Commission (“SEC”) voted to adopt “Regulation Best Interest,” which is intended to increase the duties a broker-dealer owes to its clients. While SEC-registered investment advisors...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Fight against a new Fiduciary Rule continues

It should come as no surprise that the Senate and the House of Representatives are trying to do their best to make sure that the Department of Labor (DOL) is thwarted with implementing a fiduciary rule for retirement plan and...more

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