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
4/12/2018
/ Best Interest Contract Exemptions ,
Broker-Dealer ,
Department of Labor (DOL) ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Fiduciary Rule ,
Investment Adviser ,
Investment Management ,
Regulatory Reform ,
Retail Investors ,
Retirement Plan ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Vacated
This post continues our examination of the Department of Labor’s suite of final fiduciary and conflict of interest regulations. Our prior posts discussed the newly expanded definition of “investment advice fiduciary” and the...more
6/13/2016
/ Best Interest Contract Exemptions ,
Broker-Dealer ,
Conflicts of Interest ,
Department of Labor (DOL) ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Incentive Compensation ,
Individual Retirement Account (IRA) ,
Insurance Brokers ,
Internal Revenue Code (IRC) ,
Investment Adviser ,
Principal Transaction Exemption ,
Registered Investment Advisors ,
Retirement Plan ,
Sales Commissions