Nasdaq and Cboe v. SEC
Court: U.S. Court of Appeals (D.C. Circuit) Amicus Issue: Whether it would be proper to sever the minimum tick-size amendments…
Letters
RIN 1210-AB79: Proposed Delay and Reconsideration of DOL Regulation Redefining the Term “Fiduciary”
Summary
SIFMA provides comments to EBSA, the Department of Labor (DOL) regarding the proposed delay and reconsideration of its regulation under the Employee Retirement Income Security Act of 1974, as amended (ERISA), and the Internal Revenue Code of 1986, that will redefine the term “fiduciary” under section 3(21) of ERISA and section 4975(e) of the Code.
All Appendices included or see each Appendix separate:
- Appendix I: Potential DOL Action on the Fiduciary Rule under Secretary Acosta
- Appendix II: The Fiduciary Rule – Sailing through the Fiduciary Fog
- Appendix III: A.T.Kearney study: The $20 billion impact of the new fiduciary rule on the U.S. wealth management industry
- SIFMA Comment Letter RE: RIN1210-AB79 without Appendix
Also, of interest:
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