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Retirement Investor Protection

Faegre Drinker Biddle & Reath LLP

Things I Worry About (9): FINRA Enforcement and Senior Investors

Among other things, FINRA is focusing on services and recommendations by broker-dealers and their registered representatives to retirees, senior investors and investors with diminished capacity. The Report has one part...more

Bass, Berry & Sims PLC

For the Second Time, Fiduciary Rule Applicability Date is Pushed Back

Bass, Berry & Sims PLC on

In an unsurprising move, the Department of Labor (DOL) postponed the applicability date of the fiduciary rule on April 4 for an additional 60 days. The new applicability date for the rule is June 9, 2017, although the DOL...more

Bracewell LLP

SEC's New Rule Requires Additional Disclosures on Form ADV

Bracewell LLP on

On January 12, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published its 2017 examination priorities.1 OCIE’s 2017 priorities, which largely mirror its 2016 priorities, cover three areas: (1)...more

McGuireWoods LLP

SEC Provides Guidance on 2016 Examination Areas of Focus

McGuireWoods LLP on

On Monday, January 11, 2016, the Securities and Exchange Commission (SEC) announced its Office of Compliance Inspections and Examinations’ (OCIE) areas of focus for 2016, which include: - protecting retail investors and...more

Dorsey & Whitney LLP

SEC Exam Priorities for 2016

Dorsey & Whitney LLP on

The SEC’s Office of Compliance Inspections and Examinations or OCIE announced its examination priorities for 2016. Those priorities generally “reflect certain practices and products that OCIE perceives to present potentially...more

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