Investment Management

So, You Are a Wealth Manager and You Think ERISA Does Not Impact Your Rollover Advice to IRA Owners? Think Again. Now.

By Kimberly Shaw Elliott

SEC Extracts $96M Settlement from TIAA Subsidiary for Rollover Practices - This is Only the Beginning

By Kimberly Shaw Elliott

Follow-up on SEC Guidance Regarding Broker-Dealers and Investment Advisors

On June 5th, the SEC issued a four-part package of guidance with respect to the activities of broker-dealers and investment advisors. We prepared an Investment Management Law Alert focusing on one of those components, Regulation Best Interest ("Reg BI"). On July 12th, the SEC guidance was published in the Federal Register. Printing the June 5th release in the Federal Register does not change ...