Subscribe (Free) to
Daily or Weekly Newsletters
Post a Job

Featured Jobs

Loan & Distribution Specialist

AimPoint Pension
(Remote)

AimPoint Pension logo

Business Development Director

AimPoint Pension
(Remote / Pompano Beach FL / AL / GA)

AimPoint Pension logo

Defined Benefit Combo Cash Balance Compliance Consultant

Loren D. Stark Company (LDSCO)
(Remote)

Loren D.  Stark Company (LDSCO) logo

Director of 3(16) Operations

Compass
(Remote / NH / Hybrid)

Compass logo

Retirement Plan Administrator

Bates & Company, Inc.
(Remote / Winter Park FL)

Bates & Company, Inc. logo

Regional Vice President of Sales

The Retirement Plan Company
(Remote / AL / FL / GA / MS)

The Retirement Plan Company logo

View More Employee Benefits Jobs

Free Newsletters

“BenefitsLink continues to be the most valuable resource we have at the firm.”

-- An attorney subscriber

Mobile app icon
LinkedIn icon     Twitter icon     Facebook icon

Standards of Conduct for Investment Professionals: Overlapping Protections for Broker-Dealer Retirement Customers
Eversheds Sutherland Link to more items from this source
[Guidance Overview]
Oct. 17, 2018

"[If] Regulation BI and Form CRS (Client Relationship Summary), at least structurally, are adopted by the SEC as proposed; and ... ERISA regulation reverts as expected to its pre-June 9, 2017 state.... there would be four bodies of nationally applicable regulation broadly imposing standards of conduct on [broker-dealers] in the retirement space: [1] The federal securities law administered by the SEC; [2] The rules of the Financial Industry Regulatory Authority (FINRA); [3] The prohibited transaction excise tax provision of the Internal Revenue Code (IRC); and [4] The fiduciary standards and prohibited transaction rules of ERISA enforced by the DOL."

Please click here to report this link if it is broken (for example, if you see a "404 File Not Found" error message after you click on the linked news item's title).
An important word about authorship: BenefitsLink® created this link to the news item, but we are not the news item's author (unless expressly shown above).
© 2024 BenefitsLink.com, Inc.