Advisor Standard of Care

SECURE Act Floor Action / Ambassadors in Action with Sens. Scott and Cornyn / DOL Rule

Topics: Advisor Standard of Care, Congress, DOL, IRS, Regulation, Retirement security, SEC, Treasury Department

May 17, 2019 This Week in Washington We learned yesterday that the full House of Representatives will vote on the SECURE Act (H.R. 1994) next week. AALU’s Capitol Hill Club Day during TRANSFORM 2019 played a key role in driving this legislation forward. Ambassador in Action During TRANFORM 2019, Ambassadors met with Sens. Tim Scott...

The SEC Standard of Care Proposal and Best Interest Regulation: Where Do We Go from Here?

Topics: Advisor Standard of Care, Best interest, Regulation, SEC

Join us as Bridget McNamara-Fenesy, CEO & President of M Holdings Securities, and Jim Lundy, Partner at Drinker Biddle discuss the SEC’s Standard of Care Proposal and AALU’s engagement to date, as well as the Proposal’s intersection with best interest efforts at the state level. Bridget and Jim will review the key tenets of the…