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SEC to Advance Efforts to Streamline Disclosure Requirements in 2018

Blog  Blog Post

Posted on: Fri, 23 Feb 2018 17:33:14 +0000

Corporation Finance Division Director William Hinman and his team, speaking Friday on a panel at the Practising Law Institute’s “SEC Speaks” Conference in Washington, D.C., outlined a near-term plan that rests on previously announced initiatives. More

SEC Plans to Limit Who Can Call Themselves a Financial Advisor

Blog  Blog Post

Posted on: Mon, 26 Feb 2018 17:25:21 +0000

The SEC plans to include a requirement that only brokers who act in the clients’ best interest be allowed to use titles such as “financial advisor,” SEC chairman Jay Clayton said Friday at a conference sponsored by the Practising Law InstituteMore

As DOL Rule is Struck Down, Fears Resurface Over Investor Protection

Blog  Blog Post

Posted on: Wed, 21 Mar 2018 14:33:43 +0000

At a Practising Law Institute event in February, SEC Chairman Jay Clayton said the watchdog wants to bring "clarity" and "harmony" to standards of conduct of advisors and that those standards would apply to retail and retirement accounts.More

Legal Project Management: It’s Not Just for Big Firms Anymore

Blog  Blog Post

Posted on: Thu, 22 Mar 2018 14:29:39 +0000

Last month when I was participating in the Practising Law Institute’s (PLI) annual Project Management for Lawyers seminar, several panelists’ comments resonated with me.More

Elections Held for Practising Law Institute Board of Trustees at PLI Annual Meeting

Blog  Blog Post

Posted on: Thu, 19 Apr 2018 18:31:15 +0000

At the April 18th Annual Meeting of the Board of Trustees of Practising Law Institute (PLI), the following individuals were elected:More

DOL Fiduciary Rule Still Effective Until Court Issues Mandate: Lawyer

Blog  Blog Post

Posted on: Thu, 10 May 2018 17:52:20 +0000

“Yes, the [Labor Department’s] rule is still in effect until the mandate is issued,” Kaleda said at the Practising Law Institute’s Fiduciary Investment Advice 2018 event in New York.More

INSIGHT: Dodd-Frank Overhaul Brings Changes, Questions to Rule 701

Blog  Blog Post

Posted on: Wed, 06 Jun 2018 20:08:07 +0000

The SEC has less than two months to lift up the hood on Securities Act Rule 701 to comply with a congressional mandate. More


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