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New Jersey Releases Proposed Fiduciary Rule for Broker-Dealers and Investment Advisers

On Monday, April 15, the New Jersey Bureau of Securities (“NJBS”) released its long-awaited proposed fiduciary rule (the “Proposed Rule”) for broker-dealers (“BDs”) and investment advisers (“IAs”).1 Key points from the Rule...more

4/22/2019 / Broker-Dealer , Fiduciary Duty , Fiduciary Rule , Investment Adviser , Proposed Rules , Securities and Exchange Commission (SEC)

New Jersey Releases Fiduciary Rule for Broker Dealers Investment Advisers

New Jersey released its long-awaited proposed fiduciary rule (the “Fiduciary Rule”) for broker-dealers and investment advisers. The 60-day comment period for the Fiduciary Rule began today, and will end on June 14, 2019....more

4/16/2019 / Broker-Dealer , Comment Period , Fiduciary Duty , Fiduciary Rule , Investment Adviser

Fiduciary Rule: June 9 & Beyond

On May 22, Department of Labor (DOL) Secretary Alexander Acosta announced that, despite President Trump’s memorandum ordering further analysis of the fiduciary investment advice rule (Fiduciary Rule), there was no legal...more

6/12/2017 / Best Interest Contract Exemptions , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Rule , Individual Retirement Account (IRA) , Investment Adviser , Retirement Plan

Effects of the DOL Fiduciary Rule Reach Mutual Fund Industry

The Department of Labor finalized the so-called “Fiduciary Rule” in April 2016 and announced it would go into effect in April 2017. Since the finalization of the Fiduciary Rule, the annuities, brokerage, and advisory...more

1/27/2017 / Department of Labor (DOL) , Fiduciary Rule , Investment Company Act of 1940 , Mutual Funds , No-Action Letters , Popular , Securities and Exchange Commission (SEC)

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