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NRS Spring 2021 Virtual Compliance Conference
May 17-20, 2021
Join NRS Spring 2021 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.
Upcoming Events
Industry Perspectives
New ERISA Prohibited Transaction Exemption (PTE) Effective February 16
The US Department of Labor (DOL) announced that Prohibited Transaction Exemption (PTE) 2020-02, which governs conduct by 3(21) ERISA fiduciaries (generally those who provide non-discretionary advice for a fee), took effect on February 16, 2021. (Under Section 4975 of the Internal Revenue Code, this also applies to persons who provide non-discretionary advice to IRAs.)
SEC Division of Examinations Will Conduct More Focused Reg BI Examinations Beginning January 2021
Almost six months since Regulation Best Interest’s compliance date, the Division of Examinations (“Division”) (formerly the “OCIE”) announced its intent to begin conducting more focused examinations for compliance with Reg. BI in January 2021.
