Retirement Security Rule

Regulatory Roundup for July 2024

July 31, 2024 No Comments

Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments. In this edition, we discuss the implications of the Supreme Court’s decision in SEC v. Jarkesy that limits the Commission’s use of in-house judges, two Texas federal district court judges issued stays blocking the implementation DOL’s Retirement Security Act and PTE 2020-02, and the SEC’s latest schedule for issuing various final Advisers Act rules. Enjoy!

Read More »

What Advisers Need to Know Now About Giving Rollover Advice after September 23, 2024

June 4, 2024 No Comments

The Retirement Security Rules expands ERISA’s stringent fiduciary obligations to cover almost any situation where advice is provided for a fee to a retirement investor where there is an expectation that the advice being given is in the investor’s best interest. The Final Rule covers advisory firms and their representatives providing “fiduciary investment advice” to ERISA and non-ERISA plans, including IRAs.

Read More »

What Can We Do For You?

Contact Us
Youtube
Linkedin-in

Subscribe to our mailing list

* indicates required

Dallas, Miami, New York, Philadelphia, Washington, D.C.

Contact Information
Helpful Links
© 2024
SEC³ – all rights reserved
Sitemap