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Employee Retirement Income Security Act (ERISA) (125)
Your search for Employee Retirement Income Security Act (ERISA) returned 125 results.
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12/07/2017 | Content area: Investment Adviser
This document corrects two errors in the preamble of a document that appeared in the Federal Register on November 29, 2017.
11/27/2017 | Content area: Investment Adviser
This document extends the special transition period under sections II and IX of the Best Interest Contract Exemption and section VII of the Class Exem...
11/27/2017 | Content area: Investment Adviser
Wednesday's Federal Register will contain a formal order from the Labor Department delaying until July 2019 key elements of its controversial fiduciar...
8/09/2017 | Content area: Investment Adviser
The Department of Labor Aug. 9 filed a proposal with the federal Office of Management and Budget that seeks to delay its controversial fiduciary duty ...
6/23/2017 | Content area: Investment Adviser | Private Fund
A peer shares an example of a supplement to a subscription agreement to make ERISA reps and warranties because of the Labor Department's fiduciary dut...
4/05/2017 | Content area: Investment Adviser
This document extends for 60 days the applicability date of the final regulation, published on April 8, 2016, defining who is a “fiduciary” under the ...
2/16/2017 | Content area: Investment Adviser
In ERISA parlance, if you manage investments for a plan you’re either a so-called 3(21) or a 3(38) fiduciary – the numbers originating from ERISA’s va...
1/19/2017 | Content area: Investment Adviser
The exemption proposed in this document, if granted, would allow certain insurance intermediaries, and the insurance agents and insurance companies th...
11/23/2016 | Content area: Investment Adviser
If Vegas gave odds, the house would bet that the Labor Department’s fiduciary duty rule won’t take effect next April as planned.    Sarah Kelly, the d...
11/07/2016 | Content area: Investment Adviser
Late last Friday, a U.S. District Court Judge in Washington, D.C. sided with the Labor Department and dismissed the National Association for Fixed Ann...
11/07/2016 | Content area: Investment Adviser
Six months after the Labor Department announced a $10 million settlement with Invesco Trust Company via a press release, the agency has finally releas...
11/03/2016 | Content area: Investment Adviser
Clarity on what makes for a level-fee fiduciary. Guidance on what types of compensation arrangements may cross a line. A promise by the Department of ...
11/03/2016 | Content area: Investment Adviser
With under six months to go before the Labor Department’s fiduciary duty rule becomes applicable (see related story), you now have 34 new FAQs spread ...
11/03/2016 | Content area: Investment Adviser
Compare the DOL’s BIC Lite with the Full BIC The appearance of the Labor Department’s initial FAQs tied to its fiduciary duty rule (...
11/01/2016 | Content area: Investment Adviser
This is the first set of potentially three frequently-asked-questions release by the U.S. Department of Labor targeting the agency's fiduciary duty ru...
7/14/2016 | Content area: Investment Adviser
Regulations as extensive and complex as the Department of Labor’s fiduciary duty rule are likely to have a few words out of place. Two new corrections...
7/11/2016 | Content area: Investment Adviser
The corrections in this document fix typographical errors, make minor clarifications to provisions that might otherwise be confusing, and confirm insu...
7/11/2016 | Content area: Investment Adviser
The corrections either fix typographical errors or make minor clarifications to provisions that might otherwise be confusing.
6/10/2016 | Content area: Investment Adviser
Now that two separate lawsuits have been filed against the Department of Labor in hopes of eliminating its fiduciary duty rule, let’s consider their p...
6/02/2016 | Content area: Investment Adviser
It had long been expected, and on June 1 a group of industry and business groups fulfilled the prophecy by filing a lawsuit in federal court in Dallas...


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