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Searching Content indexed under Retirement, Superannuation & Pensions by Steven Lofchie ordered by Published Date Descending.
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Lawmakers Introduce Bill To Regulate Change In Control Transactions
Senators Elizabeth Warren, Tammy Baldwin and Sherrod Brown, and Representatives Mark Pocan and Pramila Jayapal introduced a bill to govern the private funds that engage in change in control transactions.
United States
29 Jul 2019
2
Fifth Circuit Strikes Down DOL Fiduciary Rule
On June 21, 2018, the Fifth Circuit issued a mandate finalizing its March 2018 decision vacating the DOL's 2016 regulation that, among other things, expanded the scope of persons subject ...
United States
3 Jul 2018
3
Choose One: Best Interest Or Full Service
On April 18, the SEC approved the publication of three releases proposing new regulatory requirements that are intended to expand and clarify the duties that broker-dealers and investment advisers...
United States
3 May 2018
4
DOL Debate On Fiduciary Rule Continues
Controversy over the decision by U.S. Labor Secretary Alexander Acosta to go live with the Fiduciary Rule continues.
United States
19 Jun 2017
5
SEC Chair Asks For Input On IA And BD Conduct Standards
SEC Chair Jay Clayton solicited comments on "standards of conduct for investment advisers and broker-dealers."
United States
14 Jun 2017
6
House Democrats Urge DOL To Implement Fiduciary Rule "On Schedule And Without Delay"
Forty House Democrats urged DOL Office of Regulations and Interpretations ("ORI") Employee Benefits Security Administration Acting Secretary Edward Hugler to reconsider the DOL's proposed delay of the fiduciary rule...
United States
30 Mar 2017
7
President Obama Vetoes Congressional Resolution To Block Fiduciary Rule
President Obama vetoed a Congressional resolution of disapproval (H.J. Res. 88) that would prevent the Department of Labor's implementation of the final rule...
United States
17 Jun 2016
8
Senate Votes To Block DOL Fiduciary Rule
By a vote of 56 to 41, the Senate passed a resolution of disapproval (H.J. Res. 88) to prevent the Department of Labor's implementation of the final rule, "Definition of the Term 'Fiduciary'.
United States
2 Jun 2016
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