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.


Recent Insights

Best Practices for Plan Sponsors #7

Best Practices: Plan Success by the Numbers (Part 1)

I am writing two series of articles that together are called “The Bests.” One is about...

Alert: FINRA’s 529 Plan Share Class Initiative to Self-Report

FINRA is taking the position that broker-dealers need to evaluate the long-term costs of different share classes in 529 plans. In effect, FINRA is...

Open Questions on Open MEPs

One of the shiny new coins of the 401(k) realm is “Open MEPs.” It’s anticipated that Congress will pass legislation this year that permits...