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DOL Finalizes More Stringent Procedures for Requesting Prohibited Transaction Exemptions

The Department of Labor’s (“DOL”) prohibited transaction exemption procedures provide an opportunity for plan sponsors, service providers, industry groups, or others to apply for permission to engage in a variety of...more

District Court Vacates DOL Interpretation of Investment Advice

Does combining a recommendation to take a rollover from a retirement plan with post-rollover advice mean that advice is being provided on a “regular basis” under the Department of Labor’s (“DOL”) five-part test for fiduciary...more

DOL Releases FAQs on PTE 2020-02, Foreshadows Future Activity on Investment Advice

On April 13, 2021, the Department of Labor (“DOL”) issued a set of Frequently Asked Questions (“FAQs”) on the DOL’s new class exemption for the provision of investment advice, known as Prohibited Transaction Exemption (“PTE”)...more

DOL Interprets Five-Part Investment Advice Test and Issues Final Investment Advice Prohiberisa

On December 15, 2020, the U.S. Department of Labor (the “DOL”) issued its highly anticipated final prohibited transaction class exemption for fiduciary investment advice (the “Final Exemption”). The Final Exemption, which...more

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