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Retirement Plan › 401k › Securities

Shumaker, Loop & Kendrick, LLP

The Estate Planner, January/February 2023

Shumaker, Loop & Kendrick, LLP on

Pay attention to securities laws when planning your estate - Do your assets include unregistered securities, such as restricted stock or interests in hedge funds or private equity funds? If so, it’s important to consider...more

Goodwin

Cryptocurrencies As Investment Options In 401(k) Plans

Goodwin on

On March 10, 2022, the U.S. Department of Labor (“DOL”) issued a Compliance Assistance Release (the “Release”) addressing its views on the availability of cryptocurrencies on 401(k) investment platforms. This guidance comes...more

Cadwalader, Wickersham & Taft LLP

Your 401(k) Plan "Brokerage Window" May Require An S-8 Registration

Cadwalader, Wickersham & Taft LLP on

New guidance from the Securities Exchange Commission requires issuers to take a fresh look at their 401(k) plans. On September 22, 2016, the SEC’s Division of Corporation Finance released a Compliance and Disclosure...more

McDermott Will & Emery

The Directed Trustee in the Post-Dudenhoeffer World

McDermott Will & Emery on

Overview - Court cases challenging the actions of Employee Retirement Income Security Act fiduciaries have continued unabated since the scandal of Enron in 2002. Since then, a large number of cases are in the ‘‘stock...more

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