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Retirement Plan › Department of Labor (DOL) › Securities Regulation

Proskauer - Regulatory & Compliance

From Wall Street to Main Street: Investor Advocate Puts Private Funds on the 401(k) Horizon

Proskauer - Regulatory & Compliance on

On June 25, 2025, the SEC’s Office of the Investor Advocate (OIAD) released its annual report to Congress on its policy priorities for fiscal year 2026. The office was established by Congress to focus on retail investor...more

Morgan Lewis

ESG Investing Update: Trends in Legislation, Litigation, and Market Response

Morgan Lewis on

Environmental, social, and governance (ESG) investing has continued to be the subject of increasing regulatory, legislative, and litigation scrutiny. The scrutiny has accelerated following the results of the 2024 US federal...more

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

Faegre Drinker Biddle & Reath LLP

Things I Worry About (9): FINRA Enforcement and Senior Investors

Faegre Drinker Biddle & Reath LLP on

Among other things, FINRA is focusing on services and recommendations by broker-dealers and their registered representatives to retirees, senior investors and investors with diminished capacity. The Report has one part...more

Polsinelli

Department of Labor Proposes Rule on Valuing Stock for ESOP Stock Purchase and Sale Transactions

Polsinelli on

On January 16, 2025, the Employee Benefits Security Administration (EBSA) at the Department of Labor (DOL) released drafts of long-awaited proposed regulations seeking to clarify the definition of “adequate consideration” as...more

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - May 2024

Eversheds Sutherland (US) LLP on

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

McAfee & Taft

Bitcoin ETFs and workplace retirement plans: DOL has ‘serious concerns’

McAfee & Taft on

The U.S. Securities and Exchange Commission (SEC) recently approved applications from large investment firms to offer spot bitcoin exchange-traded funds (ETFs). Retail investors can now buy bitcoin ETFs on traditional...more

Goodwin

Cryptocurrencies As Investment Options In 401(k) Plans

Goodwin on

On March 10, 2022, the U.S. Department of Labor (“DOL”) issued a Compliance Assistance Release (the “Release”) addressing its views on the availability of cryptocurrencies on 401(k) investment platforms. This guidance comes...more

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