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?
Regulation BI
“A Rose by Any Other Name Would Smell as Sweet,” Not So for BDs and Advisors
By Fox Rothschild on
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