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Carlton Fields

SEC Probes Retirement Advice

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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

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

Holland & Knight LLP

DOL Announces in Final Fiduciary Rule that Additional ESOP Guidance is Forthcoming

Holland & Knight LLP on

When the U.S. Department of Labor (DOL) released its long-awaited final rule describing investment advice (the Final Rule) on April 6, 2016, it delivered a special note to many in the employee stock ownership plan (ESOP)...more

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