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Disclosure Requirements › Fees › Retirement Plan

Faegre Drinker Biddle & Reath LLP

FINRA’s Focus on Account Recommendations and Rollovers

Faegre Drinker Biddle & Reath LLP on

FINRA’s continued focus on account recommendations and rollovers is evident in its 2025 FINRA Annual Regulatory Oversight Report (the Report), Based on the Report, broker-dealers and their registered representatives...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Fee disclosures can be improved

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

The fee disclosure regulations were one of the best things that ever happened to the retirement plan business. Yet, what is great, can be improved....more

Proskauer Rose LLP

New California Law Requires Increased Private Fund Fee and Expense Disclosure

Proskauer Rose LLP on

Recent state legislative developments in California will require disclosure of certain information by private investment fund managers, primarily in the area of fees and expenses incurred by state and local pension and...more

Pillsbury Winthrop Shaw Pittman LLP

Retirement Plans Get One Chance to Change Annual Participant Fee Disclosure Deadline

Pillsbury Winthrop Shaw Pittman LLP on

On July 22, 2013, the Department of Labor (DOL) announced a one-time opportunity for administrators of participant-directed individual account plans such as 401(k) and ERISA-covered 403(b) plans to “re-set” their annual...more

Patterson Belknap Webb & Tyler LLP

Reminder: Ongoing Participant Fee Disclosure Obligations for Retirement Plan Sponsors

Patterson Belknap Webb & Tyler LLP on

In 2011 and 2012, we alerted you to new requirements on plan administrators of participant-directed defined contribution retirement plans (e.g., 401(k) plans, 403(b) plans, profit sharing plans and money purchase plans) that...more

Pillsbury Winthrop Shaw Pittman LLP

Preparing Participant-Directed Retirement Plans for the 2013 Annual Fee Disclosures

Pillsbury Winthrop Shaw Pittman LLP on

The Employee Retirement Income Security Act of 1974 (“ERISA”) requires participant-directed retirement plans to provide participants with in-depth disclosures of the plan’s fees, expenses, and investment performance on an...more

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