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Loyola University Chicago School of Law

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fiduciary rule

SEC, DOL Advance New Fiduciary Rule After Adverse 5th Circuit Ruling

Posted on November 15, 2018Jonathan BenowitzCategories Finance & Banking, Regulation

Both the Securities Exchange Commission (SEC) and Department of Labor (DOL) are pushing ahead with fiduciary standards for investment advisers despite the 5th Circuit striking down the DOL’s previous fiduciary rule earlier this year.

Tags adviceDOLfiduciaryfiduciary rulefinancefinancial regulationRegulationSEC

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