Securities and Exchange Commission (SEC), Rulemaking Process, Retirement Plan

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

Proskauer - Regulatory & Compliance on 6/27/2025

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

Getting Clued In: How the SEC’s RILA Rulemaking Affects Variable Annuities

Carlton Fields on 1/31/2025

The recent rule and form amendments adopted by the SEC to facilitate the registration of registered index-linked annuities (RILAs) and market-value adjustment annuities (MVAs) on Form N-4 have been broadly welcomed by the...more

ESG in the United States: A complex landscape

Eversheds Sutherland (US) LLP on 7/10/2023

The United States is in the process of transitioning ESG disclosure from voluntary, market-led reporting to a regulatory-driven scheme, principally led by the US Securities and Exchange Commission’s (SEC) anticipated (but...more

Retirement Plan Advisors Advantage - September 2019

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on 9/10/2019

Some "Truths" About The Retirement Plan Business. You may not be able to handle it. I'm very outspoken, probably too much. Many people in the industry don't like flamethrowers who call things as they see it. While it...more

It’s legal until it’s not

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on 8/16/2019

Shelf space payments where mutual fund companies pay to get access on a particular 401(k) custodial platform is a trending topic. The payments made are for access and if you don’t pay if you’re a mutual fund company, you...more

SEC Imposes New Standard for Broker-Dealer Investment Advice

Seyfarth Shaw LLP on 6/7/2019

On June 5, 2019, the Securities and Exchange Commission (“SEC”) voted to adopt “Regulation Best Interest,” which is intended to increase the duties a broker-dealer owes to its clients. While SEC-registered investment advisors...more

Fifth Circuit Court of Appeals Invalidates the 2016 Final Department of Labor Fiduciary Rule and Related Prohibited Transaction...

Mintz - Employment Viewpoints on 4/12/2018

What’s a financial advisor to do? On March 15, 2018, the Fifth Circuit Court of Appeals in Chamber of Commerce of the U.S. v. U.S. Dep’t. of Labor, No. 17-10238, 2018 U.S. App. LEXIS 6472 (5th Cir. Mar. 15, 2018) vacated –...more

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