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Financial Services Industry › 401k › Regulatory Requirements

Carlton Fields

Expect Focus - Volume III, August 2025

Carlton Fields on

At the beginning of July, SEC Chair Paul Atkins painted a picture: tokenization was the “next step” in the evolution of securities. Generally, tokenization entails creating a digital representation of a real-world asset —...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Fidelity adds student match program

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

The 401(k) world has long been a place where innovation comes with a compliance manual and where “benefits” are often tied up in strings long before they reach employees. But sometimes, a change comes along that feels like a...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Get those affiliated service issues straightened out

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

As a 401(k) plan sponsor, you need to make sure that all your plan providers understand any ownership interests in other companies that you may have and make a determination whether those interests constitute a controlled...more

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