Securities Firms and the Retail Investor * | Financial Regulation: Law and Policy | September 14, 2016

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Securities Firms and the Retail Investor *

by Financial Regulation: Law and Policy Show/Hide
This folder contains supplemental information for Chapter 4.2. EDIT PLAYLIST INFORMATION DELETE PLAYLIST

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  1. 1 Show/Hide More DOL Factsheet on Final Fiduciary Rule (April 2016)
    Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
  2. 2 Show/Hide More Morgan Lewis Memo - The 2016 Election and the Future of the Department of Labor Fiduciary Rule (November 2016)
    Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
  3. 3 Show/Hide More U.S. Chamber of Commerce, Comment Letter on Definition of the Term "Fiduciary" (Apr. 17, 2017)
    Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
  4. 4 Show/Hide More John Oliver "Last Week Tonight" Clip - Securities Firms
    Use with Section I. Introduction, beginning on page 461.
  5. 5 Show/Hide More Financial Planning Coalition, Comment Letter on Definition of the Term "Fiduciary"
    Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
  6. 6 Show/Hide More SIFMA AMG, Comment Letter on Definition of the Term "Fiduciary" (Apr. 2017)
    Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
  7. 7 Show/Hide More DOL Chart Illustrating Changes from Department of Labor's 2015 Conflict of Interest from Proposal to Final
    Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
  8. 10 Show/Hide More Presidential Memorandum on Fiduciary Duty Rule (Feb. 3, 2017)
    Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
  9. 11 Show/Hide More CFPB Final Rule on Arbitration Agreements (July 2017)

    Use with Chapter 4.2 Section IV. The Rise of Securities Arbitration, beginning on page 488.

    Use with Chapter 5.1 Section V. The Consumer Financial Protection Bureau, beginning on page 565.

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September 27, 2016

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