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Retirement Plan › New Guidance › Securities and Exchange Commission (SEC)

BCLP

SEC Staff Updates Rule 10b5-1 Interpretations

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The SEC staff recently published updates to its interpretations (CDIs) for Rule 10b5-1 – the insider trading exemption for pre-established trading plans....more

Faegre Drinker Biddle & Reath LLP

Rollover Recommendations – Do the SEC and DOL Requirements Align?

Faegre Drinker Biddle & Reath LLP on

The SEC and the DOL have separately issued guidance on rollover recommendations – however, a close examination indicates that the guidance by both agencies is very similar. The SEC’s guidance for broker-dealers is in...more

Faegre Drinker Biddle & Reath LLP

Broker-Dealer Services to Plans and IRAs: Impact of the DOL Fiduciary Advice Exemption

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The Department of Labor (DOL) confirmed on February 12 that the Trump-era Prohibited Transaction Exemption 2020-02 (PTE) would go into effect as scheduled on February 16, 2021. The PTE will likely affect the business of...more

McDermott Will & Schulte

DOL: Path for 401(k) Plans to Offer Private Equity Investment Options

McDermott Will & Schulte on

The US Department of Labor (DOL) issued an information letter in June 2020 indicating that, in limited circumstances, it will allow defined contribution retirement plans (such as 401(k) plans) to indirectly invest in private...more

White and Williams LLP

Department of Labor Proposes “Replacement” Fiduciary Rule

White and Williams LLP on

On June 29, 2020, the Department of Labor (DOL) proposed new guidance regulating the conduct of financial advisors with respect to advice given to individuals regarding the investment of their retirement funds. The DOL’s...more

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