Category: announcement


Moving from Angles to Bests

Posted on August 15, 2018, by Fred Reish in announcement, Broker-Dealers, DOL Activity, prudent, Registered Investment Advisers, RIA, SEC. Comments Off on Moving from Angles to Bests

Now that I have completed 100 articles about interesting Angles on birth –and death–of the DOL’s Fiduciary Rule, and the birth of an SEC best interest standard for broker-dealers and RIAs, I am going to start on a new series. The new series, rather than being titled “Angles,” will be called “The Bests.”

So, from now on, my articles—maybe the next 100—will focus on two “bests”—the SEC’s best interest standard and best practices for advisors and plan sponsors.

I figure that the SEC’s best interest rules will be developed and implemented over the next year or two, giving me a wealth of materials for new articles. But, I don’t want to be limited to that. I think that it’s important to talk about best practices for retirement plans and retiree investing and withdrawing, with a focus on helping participants to and through … Read More »

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Inside the Beltway October 12, 2017

Posted on October 2, 2017, by Fred Reish in announcement. Comments Off on Inside the Beltway October 12, 2017

Please join me and my colleague, Brad Campbell, on October 12, 2017 (9:00 am pacific time/ noon eastern time) for the 22nd session of Inside the Beltway, a quarterly audiocast sponsored jointly by Drinker Biddle and Natixis.

During this session of Beltway we will discuss:

The likelihood of a final rule extending the applicability date of the most important fiduciary exemptions to July 1, 2019.
What’s next with the DOL and SEC for revising the fiduciary rule and the exemptions?
The current focus of SEC examinations under the ReTIRE Initiative.
The likely fiduciary claims against broker-dealers in FINRA arbitrations.

Joining us for this session will be Drinker Biddle partners Sandy Grannum, who will discuss possible fiduciary claims in FINRA arbitrations, and Jim Lundy, who will speak about the OCIE ReTIRE initiative and provide a brief update on the SEC’s work on a fiduciary rule.

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Inside the Beltway — April 25, 2017

Posted on March 23, 2017, by Fred Reish in announcement. Comments Off on Inside the Beltway — April 25, 2017

Please join us for our 20th Inside the Beltway presentation on April 25, 2017. This is the next session in our ongoing series of free audiocasts discussing developments in Washington that directly impact our industry.

During this session of Inside the Beltway Fred Reish and Brad Campbell will discuss:

Update on Secretary of Labor and DOL Appointees
Update on the fiduciary rule
Impact of the Congressional proposals for tax treatment of retirement plans
Impact on retirement plans of other Trump administration priorities
SEC ReTIRE Initiative

The audiocast will be recorded and available to all registrants within a week of the presentation. An Outlook appointment request will be sent with registration confirmation.

Questions? Please contact liz.jutila@dbr.com.

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