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Department of Labor (DOL) › Broker-Dealer › SIFMA

Proskauer - Corporate Defense and Disputes

Missouri Court Enjoins Missouri’s Anti-ESG Rules for Financial Advisers

Proskauer - Corporate Defense and Disputes on

A federal district court in Missouri recently enjoined Missouri Securities Division rules that require financial firms and professionals to obtain clients’ signatures on state-prescribed documents before providing advice that...more

Latham & Watkins LLP

US Department of Labor’s Fiduciary Rule Introduces a Brave New World

Latham & Watkins LLP on

Final rule reflects some concessions, but its broad scope and compliance costs will cause financial services advisers to re-evaluate their business models. On April 6, 2016, the US Department of Labor (the DOL) released...more

Bradley Arant Boult Cummings LLP

The Department of Labor Releases its Final Fiduciary Rule

Bradley Arant Boult Cummings LLP on

The White House recently announced the Department of Labor’s (DOL) highly anticipated final fiduciary/conflict of interest rule and exemptions intended to ensure that retirement savers get investment advice in their best...more

Proskauer - Corporate Defense and Disputes

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

Proskauer - Corporate Defense and Disputes on

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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