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Retirement Plan › Employee Retirement Income Security Act (ERISA) › Retail Investors

Faegre Drinker Biddle & Reath LLP

Rollover Recommendations – Do the SEC and DOL Requirements Align?

Faegre Drinker Biddle & Reath LLP on

The SEC and the DOL have separately issued guidance on rollover recommendations – however, a close examination indicates that the guidance by both agencies is very similar. The SEC’s guidance for broker-dealers is in...more

Eversheds Sutherland (US) LLP

Proposed Regulation BI coverage of retirement investors

Eversheds Sutherland (US) LLP on

There is some debate about the intended scope of Regulation Best Interest (Regulation BI) as proposed by the Securities and Exchange Commission (SEC) in the case of retirement investors. Generally, proposed Regulation BI...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

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