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401k › Rulemaking Process › Investment Adviser

Troutman Pepper Locke

Conversation with Former SEC Chief Economist Dr. Jessica Wachter on Investment Management Rulemaking at the Commission – PE...

Troutman Pepper Locke on

This episode of PE Pathways features Dr. Jessica Wachter, former chief economist and director of the Division of Economic and Risk Analysis at the Securities and Exchange Commission (SEC), now a professor in quantitative...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Retirement Plan Advisors Advantage - September 2019

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

Some "Truths" About The Retirement Plan Business. You may not be able to handle it. I'm very outspoken, probably too much. Many people in the industry don't like flamethrowers who call things as they see it. While it...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

It’s legal until it’s not

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

Shelf space payments where mutual fund companies pay to get access on a particular 401(k) custodial platform is a trending topic. The payments made are for access and if you don’t pay if you’re a mutual fund company, you...more

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