The Broker-Dealer Law Blog provides practical insights on litigation, regulatory, compliance and fiduciary issues impacting broker-dealers, who constantly face increasingly challenging regulatory requirements and litigation exposures. In this Blog, you will find our take on emerging legal issues relating to SEC, FINRA, DOL and ERISA developments, regulations and directives, and strategies for keeping in compliance in this quickly evolving landscape. Our objective is to give you a better understanding in real time of how these new rules—including the SEC’s Reg BI and RIA fiduciary interpretation, modifications to the DOL fiduciary advice regulation, the growing list of best interest requirements from state securities and insurance regulators and other directives from the SEC, FINRA and the DOL—affect your business.
Our editorial team consists of members of Faegre Drinker’s cross-disciplinary Best Interest Compliance Team. The Best Interest Compliance team assists clients with the evolving and overlapping federal and state regulations related to the standard of care for broker-dealers, investment advisers, and insurance companies, agents and brokers.
The interdisciplinary group of more than 25 lawyers consists of attorneys from the firm’s Investment Management, ERISA, SEC and Regulatory Enforcement Defense, Litigation (including class action defense) FINRA Arbitration/Regulation and Insurance Regulatory and Transactional practice areas. The team includes experienced litigators, legislative professionals, compliance supervisors and former regulators and former broker-dealer in-house counsel.