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Retirement Plan › No-Action Relief

Foley & Lardner LLP

A Summary of Certain Recent Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Sender Primary Liability for Misstatements in PPMs and Prospectuses: Lorenzo v. SEC (No. 17-1077 -- U.S. – 2019). On March 27th, the Supreme Court issued a 1934 Act Rule 10b-5 opinion that will have implications for...more

Franczek P.C.

SEC Issues Rule 482 No-Action Relief to Non-ERISA 403(b), 457 Plans

Franczek P.C. on

The Securities and Exchange Commission (SEC) issued a no-action letter extending relief to certain investment-related information provided to participants in non-ERISA 403(b), 457(b), and other qualified participant-directed...more

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