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Capital Markets › Retirement Plan

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Surprise. Nasdaq 100 survey shows demand for Nasdaq 100 fund

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

Nothing surprises me much anymore, neither should the results of the survey that a Nasdaq 100 survey supports the inclusion of Nasdaq 100 index funds....more

DLA Piper

Institutional Investor Newsletter: Q1 2025

DLA Piper on

Former President Joe Biden issued Executive Order (EO) 14105, “Executive Order on Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern” on August 9, 2023. More...more

BCLP

Fiduciary Responsibilities under ERISA in an Uncertain Market

BCLP on

If you are an ERISA fiduciary charged with management or investment of plan assets, and recent market activity has not tripped any alarm bells — or, if the alarm bells have been tripped, but you are are looking for a bit of...more

Stinson - Corporate & Securities Law Blog

New SEC Chair Announces Guiding Principles

Stinson - Corporate & Securities Law Blog on

In remarks before the Economic Club of New York, new SEC Chairman Jay Clayton discussed eight guiding principles: Principle #1: The SEC’s mission is our touchstone. Investors and capital markets will suffer if the SEC...more

Carlton Fields

Investment Adviser Settles SEC Charges After Data Breach

Carlton Fields on

Last week, the Securities and Exchange Commission (SEC) settled charges against a registered investment adviser for failing to comply with Rule 30(a) of Regulation S-P (17 C.F.R. § 248.30(a)) (“Safeguards Rule”). The...more

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