News & Analysis as of

Regulatory Standards Fiduciary Rule

Smith Gambrell Russell

DOL Finalizes Investment Fiduciary Rule

Smith Gambrell Russell on

On Tuesday, April 23, 2024, the Department of Labor (the “DOL”) issued final regulations regarding investment fiduciary obligations and the definition of an “Investment Advice Fiduciary” (the “Final Regulations”) under the...more

Mayer Brown Free Writings + Perspectives

SEC to vote on Regulation Best Interest; DOL to issue a Notice of Proposed Rulemaking for its Fiduciary Rule

The Securities and Exchange Commission posted an Open Meeting Agenda for June 5, 2019, when the Commission will vote on whether to adopt Regulation Best Interest, the related Form CRS Relationship Summary and a standard of...more

Carlton Fields

New York Department of Financial Services Rings in the New Year with New Suitability Requirements for Insurance Companies

Carlton Fields on

New York’s Department of Financial Services decided to bid farewell to 2017 and ring-in the new year by proposing to amend Suitability in Annuity Transactions, 11 NYCR 224 (the Annuity Suitability Rule). On December 27, 2017,...more

Carlton Fields

SEC Seeks Public Comments on Standards of Conduct for Investment Advisors and Broker-Dealers

Carlton Fields on

On June 1, SEC Chairman Jay Clayton issued a statement seeking comments from interested parties regarding the standards of conduct for investment advisers and broker-dealers providing investment advice to retail investors....more

Cadwalader, Wickersham & Taft LLP

The Trump Administration: President Trump Issues Executive Actions on Dodd-Frank and the DOL Fiduciary Rule

On February 3, 2017, President Trump signed two executive actions intended to provide a framework for scaling back the Dodd-Frank Act (“Dodd-Frank Act”) and rescinding or revising the Department of Labor’s “fiduciary rule.”...more

5 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide