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Retirement Plan › Fiduciary Duty › 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

Mintz - Employment Viewpoints

Fifth Circuit Court of Appeals Invalidates the 2016 Final Department of Labor Fiduciary Rule and Related Prohibited Transaction...

Mintz - Employment Viewpoints on

What’s a financial advisor to do? On March 15, 2018, the Fifth Circuit Court of Appeals in Chamber of Commerce of the U.S. v. U.S. Dep’t. of Labor, No. 17-10238, 2018 U.S. App. LEXIS 6472 (5th Cir. Mar. 15, 2018) vacated –...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Fight against a new Fiduciary Rule continues

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

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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