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Seyfarth Shaw LLP

A Matter of Trust – DOL Issues Final Amendment Broadly Expanding Definition of Investment Advice Fiduciary

Seyfarth Shaw LLP on

Seyfarth Synopsis: On April 23, 2024, the Department of Labor released its latest attempt to amend its 1975 “fiduciary rule” and seven prohibited transaction class exemptions issued between 1975 and 2020 that investment...more

Kramer Levin Naftalis & Frankel LLP

SEC Adopts Regulation Best Interest and Related Rules and Interpretations

Kramer Levin Naftalis & Frankel LLP on

On June 5, 2019, the SEC adopted a package of rules and interpretations (the Adopted Rules) to clarify and further articulate the relationship between retail investors and their broker-dealers or investment advisers....more

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