Regulation Best Interest: Consideration of Cost and Compensation This is my 98th article about interesting observations concerning the Department of Labor’s fiduciary rule and the SEC’s “best interest” proposals. The SEC’s Regulation Best Interest (Reg BI) proposes a number of major changes to the governance of broker-dealers. For example, it
Regulation Best Interest Recommendations by Broker-Dealers: Part 3 This is my 97th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and the SEC’s “best interest” proposals. In my last two articles—Part 1 and Part 2 on this topic, I discussed the fact that proposed Reg BI
Regulation Best Interest Recommendations by Broker-Dealers: Part 2 This is my 96th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and the SEC’s “best interest” proposals. In my last post, I compared the proposed best interest standard of care for broker-dealers—the SEC’s Regulation Best Interest (“Reg
Regulation Best Interest Recommendations by Broker-Dealers: Part 1 This is my 95th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions and the SEC’s “best interest” proposals. By now, you probably know that both the SEC’s proposed Regulation Best Interest (“Reg BI”) for broker-dealers and
SEC Proposed Reg BI and Recommendations of Rollovers (Part 3) This is my 94th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions and the SEC’s “best interest” proposals. Part 1 of this series discussed the provisions in the SEC’s proposed Regulation Best Interest that
SEC Proposed Reg BI and Recommendations of Rollovers (Part 2) This is my 93rd article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions and the SEC’s “best interest” proposals. In my last post, I described the similarities between the SEC proposed Regulation Best Interest (Reg
SEC Proposed Reg BI and Recommendations of Rollovers (Part 1) This is my 92nd article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions and the SEC’s “best interest” proposals. On April 18, 2018, the SEC released three proposals for comment—Regulation Best Interest (“Reg BI”) for
Parallels Between the SEC Regulation Best Interest and the DOL Best Interest Contract Exemption (Part 2) This is my 91st article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in
Parallels Between the SEC Regulation Best Interest and the DOL Best Interest Contract Exemption (Part 1) This is my 90th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in
The 5th Circuit Decision, Prohibited Transactions, and New Non-Enforcement Policies This is my 89th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in the securities laws. On Monday, May
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