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Employee Retirement Income Security Act (ERISA) › Portfolio Managers

Procopio, Cory, Hargreaves & Savitch LLP

What to Expect from the SEC’s Examination Focus in 2024

Procopio, Cory, Hargreaves & Savitch LLP on

Investment advisers, broker-dealers, fund managers and other financial professionals could be impacted in 2024 by the U.S. Securities and Exchange Commission’s (SEC) continued focus on upcoming examinations. The SEC unveiled...more

Jackson Lewis P.C.

Court Finds No ERISA Liability for Plan Provider Who Delivered Self-Interested Rollover Advice 

Jackson Lewis P.C. on

A New York federal court recently held that a service provider for employer-sponsored retirement plans was not liable as a fiduciary under the Employee Retirement Income Security Act (“ERISA”) when it used participant...more

Dorsey & Whitney LLP

Managed Accounts in 401(k) Plans: Their Value and Their Dangers

Dorsey & Whitney LLP on

A “managed account” is a discretionary portfolio management service that makes investment decisions for individual participants within the confines of a 401(k) plan and its fund options. This service is fundamentally...more

Katten Muchin Rosenman LLP

Amendments to FINRA New Issue Rules 5130 and 5131 Effective January 1, 2020

Katten Muchin Rosenman LLP on

KEY POINTS - - Amendments to FINRA Rules 5130 and 5131, which govern the offer and sale of "New Issue" securities went into effect on January 1. - FINRA Rule 5130 prohibits a broker-dealer from selling New Issues to...more

Dechert LLP

SEC Approves Amendments to FINRA New Issue and Anti-Spinning Rules (Update)

Dechert LLP on

Update: FINRA announced this week that its recently approved amendments to Rule 5130 (New Issue Rule) and 5131 (Anti-Spinning Rule) will be effective January 1, 2020. See, FINRA Regulatory Notice 19-37, published December 19,...more

Dechert LLP

SEC Approves Amendments to FINRA New Issue and Anti-Spinning Rules

Dechert LLP on

The Securities and Exchange Commission approved amendments to the Financial Industry Regulatory Authority New Issue Rule (Rule 5130) and Anti-Spinning Rule (Rule 5131) (collectively, Rules) on November 5, 2019...more

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