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Broker-Dealer › Investment › Internal Revenue Code (IRC)

Cadwalader, Wickersham & Taft LLP

YA Global Brings its Fight to the Appellate Level

Cadwalader, Wickersham & Taft LLP on

On April 28, YA Global Investments, LP (“YA Global”) filed an appeal in the 3rd Circuit, contesting the Tax Court’s decision in YA Global Investments, LP v. Commissioner. In YA Global Investments, the court found that YA...more

SEC Compliance Consultants, Inc. (SEC³)

What Advisers Need to Know Now About Giving Rollover Advice after September 23, 2024

SEC Compliance Consultants, Inc. (SEC³) on

This article was originally published on Kitces.com, on May 15, 2024, and is available at at DoL’s Retirement Security Rule & PTE 2020-02 Amendment: What Advisers Need to Know Now about Giving Rollover Advice After September...more

Faegre Drinker Biddle & Reath LLP

In Case You Missed It: Broker-Dealer Regulation & Litigation Digest – Winter 2023

Faegre Drinker Biddle & Reath LLP on

The Broker-Dealer Regulation & Litigation Digest is a periodic compilation of the most read blog posts published on the Broker-Dealer Law Blog during the last few months. Here you can catch up on what you missed or re-read...more

McDermott Will & Schulte

Department of Labor Exemption Impacts Investment Advice Fiduciaries

McDermott Will & Schulte on

The US Department of Labor (DOL) recently issued guidance concerning a new exemption under the prohibited transaction provisions of the Employee Retirement Income Security Act of 1974 (ERISA) in connection with the provision...more

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