- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Despite successful legal challenges and a thunder-stealing rules package proposed by the SEC, the Department of Labor’s fiduciary rule isn’t dead quite yet. At least that is the hope of a last-minute legal maneuver by the AARP and three attorneys general.
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Democratic presidential nominee Joe Biden is no lock to win the presidency on Nov. 3. But it’s worth examining what compliance-related regulatory policies he’d support if he wins.
The U.S. Department of Labor announced the proposal of a new exemption for investment advice fiduciaries designed to replace retirement-focused fiduciary rules made invalid two years ago.
The Securities and Exchange Commission has adopted rulemaking intended to enhance the quality and transparency of investor relationships with investment advisers and broker-dealers.
