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Retirement Plan › Fiduciary Duty › Retail Investors

Robins Kaplan LLP

Should you take financial advice from Magnum P.I.?

Robins Kaplan LLP on

Unless you rely solely on streaming services, at some point in recent years, you have likely seen Tom Selleck pitching reverse mortgages as a retirement strategy. Is that a product for you? Or your parents? This article won’t...more

Goodwin

SEC Staff Provides Guidance on Broker-Dealer and Investment Adviser Standards of Conduct For Account and Rollover Recommendations...

Goodwin on

U.S. Securities and Exchange Commission staff recently published a bulletin reiterating the standards of conduct applicable to broker-dealers and investment advisers when making account recommendations to retail investors....more

Eversheds Sutherland (US) LLP

The SEC’s new standard of conduct rules – application to retirement accounts

Eversheds Sutherland (US) LLP on

On June 5, 2019, the US Securities and Exchange Commission (SEC) adopted its Regulation Best Interest (Rule 15l-1 under the Securities Exchange Act of 1934), a rule that requires a broker-dealer registered with the SEC to act...more

Kramer Levin Naftalis & Frankel LLP

SEC Adopts Regulation Best Interest and Related Rules and Interpretations

Kramer Levin Naftalis & Frankel LLP on

On June 5, 2019, the SEC adopted a package of rules and interpretations (the Adopted Rules) to clarify and further articulate the relationship between retail investors and their broker-dealers or investment advisers....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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