Securities and Exchange Commission (SEC), Securities Regulation, Employee Retirement Income Security Act (ERISA)

Correcting Liquidity, Valuation, or Transfer Problems With OTC-Traded Stocks in Retirement Plans to Minimize Enforcement and...

Saul Ewing LLP on 2/28/2025

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

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

Polsinelli on 1/20/2025

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

Dual registrant regulatory roundup - December 2024

Eversheds Sutherland (US) LLP on 12/6/2024

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

Expect Focus - Volume IlI, September 2024

Carlton Fields on 10/16/2024

Gone With the Wind? Closed-End Funds Risk Extinction - Shares of SEC-registered closed-end funds (CEFs) have long held significant potential advantages for some investors. For example, unlike shares of mutual funds...more

Dual registrant regulatory roundup - May 2024

Eversheds Sutherland (US) LLP on 5/9/2024