As we discussed in our earlier summary, the Consolidated Appropriations Act, 2021, Public Law 116-260 (“CAA”), signed into law by the President on December 27, 2020, imposed new compensation disclosure requirements upon...more
The Consolidated Appropriations Act, 2021, Public Law 116-260 (“CAA”), signed into law by President Trump on December 27, 2020, imposes new compensation disclosure requirements upon brokers and consultants to group health...more
The Department of Labor (“DOL”) published a final rule in the Federal Register on May 27th that establishes a new electronic disclosure safe harbor. ...more
On January 10, 2020, the staff of the Securities and Exchange Commission (“SEC”) updated its frequently asked questions on Regulation Best Interest (the “FAQs”).
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1/16/2020
/ Best Interest Standard ,
Broker-Dealer ,
Conflicts of Interest ,
Department of Labor (DOL) ,
Disclosure Requirements ,
Executive Orders ,
Fiduciary Duty ,
Fiduciary Rule ,
Investment Adviser ,
Investment Management ,
New Rules ,
Regulation Best Interest ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Standard of Conduct ,
Trump Administration