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Business Advice Individual Retirement Account (IRA)

Carlton Fields

SEC Probes Retirement Advice

Carlton Fields on

The SEC has been sending lengthy sweep examination letters to many registered investment advisers (RIAs) and broker-dealers, requesting a broad variety of information regarding retirement plan advice. A form of the...more

Troutman Pepper

Department of Labor Issues Long-Awaited Fiduciary Rule

Troutman Pepper on

The new standard requires broker-dealers providing advice with respect to IRAs to put their client’s interests ahead of their own. The U.S. Department of Labor released new rules on April 6 that materially enlarge the...more

Holland & Knight LLP

DOL Releases Final Fiduciary Investment Adviser Regulations

Holland & Knight LLP on

On April 6, 2016, the U.S. Department of Labor (DOL) released its long-awaited final regulations defining who is a fiduciary investment adviser (the Final Rule), along with related prohibited transaction class exemptions and...more

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