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Fiduciary Duty › Fiduciary Rule › Standard of Care

Warner Norcross + Judd

Final Fiduciary Rule – Part 2: Conflicted Transaction Relief for Investment Advice Fiduciaries

Warner Norcross + Judd on

The U.S. Department of Labor (DOL) amended Prohibited Transaction Exemption 2020‑02 (Amended PTE 2020-02) on April 25, 2024. This amendment addresses administrative deficiencies cited in federal court decisions challenging...more

Faegre Drinker Biddle & Reath LLP

Standard of Care for Rollover Advice

Faegre Drinker Biddle & Reath LLP on

The standard of care for rollover recommendations has been top of mind for broker-dealers beginning with the issuance of the Department of Labor’s (DOL’s) now vacated fiduciary rule, and more recently with the SEC’s...more

Sheppard Mullin Richter & Hampton LLP

Regulation Best Interest: The SEC Responds to the DOL’s Fiduciary Rule

Sheppard Mullin Richter & Hampton LLP on

On April 18, 2018, the Securities and Exchange Commission published its proposed Regulation Best Interest. Regulation Best Interest would require broker-dealers and affiliated persons to act in the best interest of a retail...more

Dechert LLP

SEC Proposes Rules Addressing Broker-Dealer and Investment Adviser Standards of Conduct

Dechert LLP on

On April 18, 2018, the U.S. Securities and Exchange Commission (SEC) voted 4-1 to propose a package of rules and interpretations (Proposals) intended to improve the retail investor experience and to provide greater clarity...more

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