News & Analysis as of

Fiduciary Duty › Employee Benefits Security Administration › Securities and Exchange Commission (SEC)

Saul Ewing LLP

Correcting Liquidity, Valuation, or Transfer Problems With OTC-Traded Stocks in Retirement Plans to Minimize Enforcement and...

Saul Ewing LLP on

Over 8,000 stocks trade on American stock exchanges, but billions of dollars in daily trades in these listed stocks and 12,000 more unlisted (non-exchange-traded) stocks occur outside of an exchange in Over-The-Counter...more

Eversheds Sutherland (US) LLP

2017 in Review: ERISA guidance and enforcement

Eversheds Sutherland (US) LLP on

In 2017, the principal focus in the administration of the Employee Retirement Income Security Act of 1974, as amended (ERISA), by the Department of Labor (DOL) appropriately remained one of the extraordinary developments...more

Proskauer - Corporate Defense and Disputes

DOL Open to Changing Fiduciary Proposal, But Some Press for it to be Scrapped

Proskauer - Corporate Defense and Disputes on

As we wrote about previously, in April the Department of Labor issued its highly anticipated, re-proposed regulation addressing the standard of care for broker-dealers and other financial professionals who provide retirement...more

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