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Broker-Dealer Compliance + Regulation

Understanding the Standard of Care for Broker-Dealers and the Department of Labor’s Fiduciary Rule

Broker-Dealer Compliance + Regulation on

Until recently, broker-dealers operating in the United States weren’t subject to a fiduciary standard when dealing with their retail clients. The passage of the Dodd-Frank Act in 2010 included a provision enabling the...more

Proskauer - Corporate Defense and Disputes

DOL Open to Changing Fiduciary Proposal, But Some Press for it to be Scrapped

Proskauer - Corporate Defense and Disputes on

As we wrote about previously, in April the Department of Labor issued its highly anticipated, re-proposed regulation addressing the standard of care for broker-dealers and other financial professionals who provide retirement...more

Proskauer - Corporate Defense and Disputes

The Battle Lines Continue to Form Over the DOL’s Fiduciary Proposal

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Earlier this month, the Securities Industry and Financial Markets Association (“SIFMA”) released its “Proposed Best Interests of the Customer Standard for Broker-Dealers” – an alternative to the U.S. Department of Labor’s...more

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