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Securities Fiduciary Rule

K&L Gates LLP

DOL's Fiduciary Rule: The Latest Developments

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In July, two Federal District Courts in Texas issued orders staying the effective date of the Department of Labor’s (DOL) fiduciary rule (Fiduciary Rule)....more

Faegre Drinker Biddle & Reath LLP

The New Fiduciary Rule (39): Qualified Annuity Exchanges

The Department of Labor has issued the: The exemptions provide relief from prohibited compensation resulting from fiduciary recommendations to “retirement investors”—private sector retirement plans, participants in those...more

Proskauer Rose LLP

A Guide to the DOL’s New Investment Advice Fiduciary Rule Proposal – What Investment Advisers and Managers Need to Know

Proskauer Rose LLP on

The new “retirement security rule” package, issued by the U.S. Department of Labor (the “DOL”) on October 31, 2023, is the latest chapter in an almost 15-year effort by the DOL to amend the five-part test in its 1975...more

Faegre Drinker Biddle & Reath LLP

The New Fiduciary Rule (9): What is An Investment? (Part 1)

The US Department of Labor has released its package of proposed changes to the regulation defining nondiscretionary fiduciary advice and to the exemptions for conflicts and compensation for investment recommendations to...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

DOL to try that new fiduciary rule again

Secretary of Labor Alexander Acosta indicated that the Department of Labor will try to roll out a new fiduciary rule, in coordination with the Securities and Exchange Commission’s rollout of their own version of a fiduciary...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

Turns out the Fed’s plate isn’t just full of decisions surrounding interest rates. It’s got a massive portfolio of mortgage and Treasury securities that needs some serious tending, too....more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

The recent US rejection of the TPP will have wide-reaching effects in Asia. Among them is the strong likelihood of 80s-style trade warring between Japan and the US....more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

SEC Issues Guidance on Mutual Fund Fee Structure - The Securities and Exchange Commission’s (SEC) Division of Investment Management recently issued a guidance update addressing disclosure issues and certain procedural...more

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