Much has happened since we last reported on the Department of Labor’s Fiduciary Rule. The compliance deadline was extended 18 months to July 1, 2019. A federal appellate court vacated the Fiduciary Rule in its entirety. The...more
5/11/2018
/ Best Interest Contract Exemptions ,
Broker-Dealer ,
Code of Conduct ,
Conflicts of Interest ,
Consumer Financial Contracts ,
Department of Labor (DOL) ,
Disclosure Requirements ,
Dodd-Frank ,
Fiduciary Rule ,
Governor Hogan ,
Investment Adviser ,
Investors ,
Proposed Rules ,
Public Comment ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Standard of Care
There have been several attempts to kill the Fiduciary Rule in recent months. On June 8, The Financial Choice Act (H.R. 10), which overhauls the Dodd-Frank Act and in the process repeals the Fiduciary Rule, passed by a vote...more