SEC on Rollovers: The Agency Says RIAs Are Fiduciaries
Los Angeles partner Fred Reish and Florham Park counsel Joan Neri co-authored an article for PlanAdviser magazine titled "SEC on Rollovers: The Agency Says RIAs Are Fiduciaries," discussing the SEC’s position on recommending rollovers. The article describes the fiduciary standard of care that applies to rollover advice as described by the SEC in its proposed interpretation for RIAs and its proposed Regulation Best Interest.
Read "SEC on Rollovers: The Agency Says RIAs are Fiduciaries.”
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