Carl Ayers
This revision of the Labor Department's so called rollover exemption, PTE 2020-02, goes into effect Sept. 23, 2024 but firms will have one year after ...
The DOL maintains its new rule is 'generally consistent' with the SEC’s fiduciary duty interpretation for advisers and Reg BI for B-Ds
Compliance advice in new advertising risk alert, a first peek at the DOL's final fiduciary duty rule, more Reg BI cases and much more
This is the DOL's final rule creating a new definition of an ERISA fiduciary
This document contains a notice of amendment to class prohibited transaction exemption (PTE) 2020-02, which provides relief for investment advice fiduciaries to receive certain compensation ...
This document contains a notice of amendment to Prohibited Transaction Exemption (PTE) 84-24, an ERISA exemption from certain prohibited transactions
This document contains a notice of amendments to Prohibited Transaction Exemptions (PTEs) 75-1, 77-4, 80-83, 83-1, and 86-128, which are class exemptions from certain prohibited ...
"The new Registered Fund Statistics report includes more than 70 data tables reflecting aggregated and anonymized public and non-public information filed on Form N-PORT. It is the ...
"If the dominant model becomes billion-dollar unicorns being backed by many rounds of VC funding and then going public as mega cap companies, it would ...
"Is going public through a special purpose acquisition company still a viable path for private companies, given the Commission’s recent final SPAC rulemaking?"