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Retirement Plan › Exchange Traded Funds

Morgan Lewis

ETFs for ERISA Plans: Operational Barriers and Potential Benefits

Morgan Lewis on

Exchange-traded funds (ETFs) have gained an increasing foothold in the wealth-management investment universe, with ETF assets under management currently about half the assets under management of mutual funds. As the ETF...more

McAfee & Taft

Bitcoin ETFs and workplace retirement plans: DOL has ‘serious concerns’

McAfee & Taft on

The U.S. Securities and Exchange Commission (SEC) recently approved applications from large investment firms to offer spot bitcoin exchange-traded funds (ETFs). Retail investors can now buy bitcoin ETFs on traditional...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Will Bitcoin ETFs open the door?

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

Thanks to litigation, the Securities and Exchange Commission will likely approve a few Bitcoin-centric exchange-traded funds. That begs the question, will those ETFs be allowed as investments within 401(k) plans?...more

K&L Gates LLP

SECURE-ing Insurance Company Separate Account Assets for ETFs

K&L Gates LLP on

On 29 December 2022, President Biden signed into law the SECURE Act 2.0 (SECURE 2.0) as part of the Consolidated Appropriations Act of 2023. SECURE 2.0 builds on the 2019 passage of the Setting Every Community Up for...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

SBDA account balances are up

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

With the market up, it makes sense that self-directed brokerage accounts in defined contribution plans would be up too....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Hire an advisor when you get an employee

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

I’m still amazed when I find participant-directed 401(k) plans without a financial advisor. While I understand how solo 401(k) plans don’t have an advisor because individuals think they can do it on their own, it makes no...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

You need a financial advisor

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

I am still how often I find participant-directed 401(k) plans without a financial advisor. While I understand how solo 401(k) plans don’t have an advisor because individuals think they can do it on their own. I have a solo...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Invesco settles their lawsuit

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

A lawsuit against the Invesco 401(k) plan has been settled for $3.47 million. Also, Invesco agreed to modify the investment options offered through the plan’s self-directed brokerage account option so that plan participants...more

Sullivan & Worcester

Asset Managers: Are You Ready for Your Exam? Steps You Should Take Now

Sullivan & Worcester on

Last week we told you about the five biggest pet peeves of the SEC’s Office of Compliance Inspections and Examinations (OCIE) when examining investment advisers. This week, we want to get you ready for your exam. Here are the...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

RBS has agreed to pay $85 million to the CFTC to resolve allegations that its traders “manipulated the ISDAfix benchmark rate over a period of five years to benefit the bank’s derivatives positions”....more

Ballard Spahr LLP

Investment Management Update - March 2016

Ballard Spahr LLP on

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. SEC, FINRA...more

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