Just as broker-dealers and investment advisers finalized their initial implementation plans for the US Securities and Exchange Commission (SEC) Form CRS and Regulation Best Interest (Reg. BI), the US ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

The FLSA’s independent contractor regulations, as with so many of the federal laws under DOL’s enforcement purview, have been subject to a veritable table tennis match between presidential ...

A Department of Labor rule adopted under the Biden administration had many brokers worried about their ability to work as ...