The United States Department of Labor (“DOL”) has had a very active summer regulating the securities industry. Yes, you heard it right, the DOL has made certain pronouncements that have
Continue Reading The DOL: The New Securities Regulator?

Analysis of cutting-edge securities industry issues
The United States Department of Labor (“DOL”) has had a very active summer regulating the securities industry. Yes, you heard it right, the DOL has made certain pronouncements that have…
Continue Reading The DOL: The New Securities Regulator?
Although we are certain that Shakespeare never had to deal with the vagaries of Regulation BI, we do, and, in a series of questions relating to Regulation BI, the SEC…
Continue Reading “A Rose by Any Other Name Would Smell as Sweet,” Not So for BDs and Advisors
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