By George H. Friedman, SAA Publisher & Editor-in-Chief
In somewhat of a surprise, the Department of Labor (“DOL”) has delayed from December 20 until January 31 enforcement of its fiduciary rule.
The period for filing comments and requesting a public hearing closed August 6, with just one hundred comments and no extension or hearing despite a request from Congressional Democrats and others.
By George H. Friedman, SAA Editor-in-Chief
As the June 30 enforcement date of the SEC’s Regulation Best Interest (“Reg BI”) approaches, various preparatory steps are rolling out by the regulators.
By Christine Lazaro, Professor of Law & Clinic Director
St. Johns Law School
This analysis was prepared by SAA Advisory Board Member Prof.
By George H. Friedman, SAA Editor-in-Chief
About a year ago, I authored a blog post, The New Year is Here: What’s in Store for Arbitration and the Financial Services Field.
By George H. Friedman, SAA Editor-in-Chief
Just as the SEC’s Regulation Best Interest was about to go into effect September 10, several states and the District of Columbia sued to stop it.