News & Analysis as of

Retirement Plan › Fiduciary Duty › Exchange Traded Funds

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

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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