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Retirement Plan › Disclosure Requirements › Investment

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Most Absurd Things About 401(k) Plans That Sponsors Have No Idea About

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

Fifteen years into my solo practice, you’d think I’d be desensitized to the absurdities of the 401(k) world. But no. Every time I think I’ve seen it all, a plan sponsor, or more accurately, the people advising them, reminds...more

A&O Shearman

UK Pensions: what’s new this week? July 21, 2025

A&O Shearman on

Welcome to your weekly update from the A&O Shearman Pensions team, covering all the latest legal and regulatory developments in the world of workplace pensions. Mansion House speech - The chancellor gave her second...more

Mayer Brown Free Writings + Perspectives

SEC Office of the Investor Advocate Report

Mayer Brown Free Writings + Perspectives on

Pursuant to the Securities Exchange Act, the Investor Advocate is required to file two reports annually with the Committee on Banking, Housing and Urban Affairs of the Senate and the Committee on Financial Services of the...more

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

Carlton Fields

SEC Commissioners on the Hunt for Materiality: Disagree on Cybersecurity Enforcement Actions

Carlton Fields on

On October 22, 2024, Republican SEC Commissioners Hester Peirce and Mark Uyeda issued a joint dissent sharply criticizing charges brought against four companies for allegedly making materially misleading disclosures regarding...more

Faegre Drinker Biddle & Reath LLP

The New Fiduciary Rule (26): Changes to PTE 2020-02 (1): Affecting the Advisor

Faegre Drinker Biddle & Reath LLP on

In November 2023, the U.S. Department of Labor released its package of proposed changes to the regulation defining fiduciary advice and to the exemptions for conflicts and compensation for investment recommendations to...more

McDermott Will & Schulte

Weekly IRS Roundup November 7 – November 11, 2022

McDermott Will & Schulte on

Presented below is our summary of significant Internal Revenue Service (IRS) guidance and relevant tax matters for the week of November 7, 2022 – November 11, 2022....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

Pillsbury Winthrop Shaw Pittman LLP

New Law Mandates Disclosure of Alternative Fund Fees By California Public Pensions

Pillsbury Winthrop Shaw Pittman LLP on

To increase the transparency of fees and expenses paid to alternative funds, every California public pension plan must require each alternative fund in which they invest to make various disclosures, and California public...more

Ballard Spahr LLP

Investment Management Update - October 2015

Ballard Spahr LLP on

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. Schwab...more

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