Posts in Investment Adviser Law
Can States Decide Who Is A Fiduciary? Nevada Ignores ERISA Preemption

States shouldn’t have a role in the regulation of pension plan fiduciaries. Nevada needs to step back and craft an ERISA exemption.

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Hiring an Investment Adviser? Here's What You Need to Know

Hiring fiduciaries need to look at more than just fees and past performance.

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Investment Advisers: Do Your Employees Text or Post on Social Media?

Investment Advisers: How to Use (and how not to use) Social Media and Electronic Communications

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10 Litigation Lessons for 401(k) and 403(b) Fiduciaries--Apply Them in 2019

Fiduciaries can learn a lot from recent litigation activity.

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Join us for an Adviser Roundtable Breakfast on August 1

We’ll discuss how to advise wealth management and retirement plan clients while staying compliant.

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Hydras and the Fiduciary Rule: Why We May Still Have New Advice Standards

Why the move to strengthen fiduciary standards is not dead.

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