Joseph A. Caruso, III

Standards of Conduct: Regulation Best Interest and the ’40 Act

By Joseph A. Caruso, III | 6/6/2018

The Securities and Exchange Commission’s Regulation Best Interest proposal creates a standard of conduct for brokers – but how does that compare with the obligations imposed on investment advisers under the Investment Advisers Act of 1940?Under the Regulation Best Interest, the standard of conduct... READ MORE

Wyoming Task Force Tackles Retirement, State-Run Plan for Private Sector

By Joseph A. Caruso, III | 3/26/2018

Wyoming Gov. Matthew H. Mead (R) has signed legislation (WY SF 116) creating a retirement income security task force to study the Equality State’s retirement preparedness and retirement savings programs – and the possibility of creating a state-run retirement plan for private-sector workers.The... READ MORE

Maryland Takes a Step Back on Fiduciary Rule

By Joseph A. Caruso, III | 3/21/2018

For the moment, anyway, the Old Line State has stepped back from crossing a line that would have established its own fiduciary rule.On March 19, the Financial Consumer Protection Act of 2018 (MD SB 1068) passed out of the Maryland Senate Finance Committee favorably with amendments just a week after... READ MORE

You are here

Joseph A. Caruso, III

NAPA's 401(k) Rollover Specialist (k)RS Credential

Recent Headlines

Recent Comments