Securities, Employee Benefits

The New Fiduciary Rule (9): What is An Investment? (Part 1)

Faegre Drinker Biddle & Reath LLP on 12/6/2023

The US Department of Labor has released its package of proposed changes to the regulation defining nondiscretionary fiduciary advice and to the exemptions for conflicts and compensation for investment recommendations to...more

With a Little Help From My Friends … New Clawback Rule Requires Coordination of Finance, Securities, HR, and Benefits Personnel

Holland & Hart - The Benefits Dial on 7/27/2023

by Elizabeth Nedrow Many aspects of benefits and executive compensation require coordination between a company’s benefits, HR, finance and securities compliance personnel. One topic currently responsible for many such “all...more

Global Choice Programs with a Twist

King & Spalding on 11/17/2022

Numerous multinationals allow their employees globally to elect whether to take their equity award grants as stock options and/or restricted stock units (RSUs). These “choice programs” provide employees with autonomy in their...more

What’s Your Game Plan? Offensive or Defensive: Playing to Your Strengths [Expect Focus – October 2016]

Carlton Fields on 10/31/2016

- AXA Prevails at First Post-Jones v. Harris Excessive Fee Trial - Potential Secondary Effects of Regulatory Examinations: Evidentiary Issues and Preclusion in Parallel Litigation - On The Horizon: Global...more

Investment Management Update

Ballard Spahr LLP on 10/27/2016

Investment Adviser AXA Wins Excessive Fee Trial - A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more

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

Cadwalader, Wickersham & Taft LLP on 9/28/2016

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

Governments May Be Exempt From ERISA, But They Are Not Exempt From Securities Laws

Stinson - Benefits Notes Blog on 8/22/2014

ERISA lawyers know that employee benefit plans offered by state and local governments to their employees are not subject to ERISA, the federal law that generally governs benefit plans of private employers. However, other...more

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