Application of Regulation Best Interest to Bank Dealers
SIFMA provided comments to the MSRB regarding Notice 2021-06 (the “Notice”), which proposes an amendment to MSRB Rule G-19 that…
Letters
Deloitte’s Report on Operational Impacts to BDs of the DOL Fiduciary Rule Proposal
Issue
Best Interest Standard→
Summary
SIFMA provides comments to the Chief Economist and Director of Policy and Research at the Employee Benefits Security Administration (EBSA) with additional information regarding the cost estimates contained within Deloitte’s Report on the Anticipated Operational Impacts to Broker Dealers of the Department of Labor’s (DOL) Proposed Conflicts of Interest Rule Package.
See Also:
United States Department of Labor: Conflict of Interest Proposed Rule
See Also:
- The Fiduciary Rule Itself
- Best Interest Contract Exemption (BIC exemption)
- Principal Transactions
- Prohibited Transaction Class Exemption (“PTCE”) 86-128
- Prohibited Transaction Class Exemption (“PTCE”) 84-24
- Prohibited Transaction Class Exemption (“PTCE”) 75-1, Part V
- Additional Exemptions
- Asset Management Group
- NERA Analysis: Comment on the Department of Labor Proposal and Regulatory Impact Analysis
- Deloitte Report on the Anticipated Operational Impacts to Broker-Dealers of the Department of Labor’s Proposed Conflicts of Interest Rule Package
- NERA Memo to SIFMA: Answers to Questions Regarding NERA’s “Comment on the Department of Labor Proposal and Regulatory Impact”
- SIFMA Submits Comments to EBSA Regarding Questions on Deloitte’s Report on the Anticipated Operational Impacts to BDs of the DOL Fiduciary Rule Proposal
- SIFMA Submits Supplemental Comments to EBSA in Regards to the DOL’s Fiduciary Rule Proposal (Follow-up to August Hearing)
More Submissions
Type:
Concerns with Amendments to MSRB Rules G-19 and G-48
SIFMA provided comments to the MSRB to address an issue regarding recent amendments to Rules G-19 and G-48 with the…
Type:
Joint Letter on MA Proposed Regulations – Fiduciary Conduct Standard
SIFMA and joint trades provided comments to the Massachusetts Securities Division on the Proposed Fiduciary Conduct Standard for Broker-Dealers, Agents,…