Over 8,000 stocks trade on American stock exchanges, but billions of dollars in daily trades in these listed stocks and 12,000 more unlisted (non-exchange-traded) stocks occur outside of an exchange in Over-The-Counter...more
2/28/2025
/ Compensation & Benefits ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
EBSA ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Executive Compensation ,
Fiduciary Duty ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation
In the prior article we discussed the reasoning behind creation of a health and welfare committee to oversee administration of the health and welfare plans. In creating a charter, a plan sponsor will need to decide whether to...more
1/28/2025
/ Benefit Plan Sponsors ,
Compensation & Benefits ,
Department of Labor (DOL) ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Executive Compensation ,
Fiduciary Duty ,
Health Insurance ,
Mental Health ,
Reporting Requirements ,
Required Forms ,
Retirement Plan
In the past two weeks, we have presented a few items that plan sponsors can review in hopes of curbing common employee benefits and executive compensation errors. This week in our Employee Retirement Income Security Act of...more
For better or for worse, the 401(k) plan has moved to center stage in the context of American retirement policy. Fittingly, Part 2 of this Employee Retirement Income Securities Act of 1974 (“ERISA”) driven series focuses on a...more