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Searching Content indexed under Retirement, Superannuation & Pensions by Morrison & Foerster LLP ordered by Published Date Descending.
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1
First State Charges Broker-Dealer In Connection With Violations Of DOL Fiduciary Rule
On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the "Division") of the Office of the Secretary of the Commonwealth charged a registered broker-dealer ...
United States
21 Feb 2018
2
DOL Proposes To Defer Full Implementation Of Its Fiduciary Rule Until July 1, 2019
On August 31, 2017, the DOL published a proposal to defer full implementation of the Fiduciary Rule until July 1, 2019.
United States
11 Sep 2017
3
Does A Proposal For Further Delay In Implementation Of The DOL Fiduciary Rule Suggest Major Changes Are Coming?
On August 9, 2017, the U.S. Department of Labor (DOL) submitted to the Office of Management and Budget (OMB) a proposal to delay until July 1, 2019...
United States
21 Aug 2017
4
DOL's Fiduciary Rule Resource Page
The first phase of the Department of Labor's ("DOL") new fiduciary rule ("Fiduciary Rule") was implemented on June 9, 2017.
United States
12 Jul 2017
5
Attention Retail Investors: The SEC Wants To Hear Your Views On The DOL's Fiduciary Rule
In connection with the Department of Labor's ("DOL") fiduciary rule (the "Fiduciary Rule"), key provisions of which became applicable on June 9, 2017, SEC Chair Jay Clayton issued a public statement...
United States
28 Jun 2017
6
Implementing The DOL Fiduciary Rule
On June 9, 2017, key provisions of the fiduciary rule adopted by the Department of Labor (DOL) will become applicable for most broker-dealers...
United States
12 Jun 2017
7
Living With The DOL Fiduciary Rule: Be Prepared For The June 9 Implementation Date
The first phase of the Department of Labor's ("DOL") new fiduciary rule ("Fiduciary Rule") is scheduled to be implemented on June 9, 2017.
United States
31 May 2017
8
DOL Fiduciary Rule Delayed By 60 Days
Late in the day on April 4, 2017, the Department of Labor ("DOL") made publicly available its final rule...
United States
12 Apr 2017
9
President Trump Directs DOL To Review The Fiduciary Rule And Consider Modifications Or Revocation
On February 3, 2017, President Trump directed the Department of Labor ("DOL") to review the fiduciary rule adopted in April 2016 (the "Fiduciary Duty Rule") and consider whether the Fiduciary Duty Rule...
United States
15 Feb 2017
10
Important Changes To The IRS Determination Letter Program For Retirement Plans
The Internal Revenue Service ("IRS") has modified procedures governing favorable determination letters for individually designed qualified retirement plans...
United States
1 Feb 2017
11
Reminder: Information Statements Due By January 31, 2017, For 2016 Incentive Stock Option And Employee Stock Purchase Plan Transactions; IRS Filings Also Required
This is a reminder to public and private companies that grant incentive stock options ("ISOs") or maintain a tax-advantaged employee stock purchase plan ("ESPP") of certain year-end reporting requirements.
United States
30 Jan 2017
12
Former New York Pension Official And Two Broker-Dealers Charged In Pay-To-Play Scheme
On December 21, 2016, the SEC charged the former Director of Fixed Income for the New York State Common Retirement Fund (the "NYSCRF") with allegedly steering billions of dollars of NYSCRF assets...
United States
5 Jan 2017
13
Acquired Fund Fee Expenses And Business Development Companies
The requirement of the SEC for registered open-end funds to disclose "acquired fund fees and expenses" of other funds they invest in, including business development companies...
United States
9 Aug 2016
14
Impact Of DOL's Final Rule On Business Development Companies
On April 6, 2016, the U.S. Department of Labor (DOL) released its final rule defining who is a fiduciary in connection with investment advice that is provided to benefit plans subject to ERISA.
United States
3 Aug 2016
15
Implications Of The DOL Fiduciary Rule For Structured Products
On April 6, 2016, the Department of Labor ("DOL") issued its final conflict of interest regulations, which significantly expand who is considered a fiduciary when dealing with a retirement account.
United States
16 May 2016
16
Structured Thoughts: News For The Financial Services Community, Special Issue
On April 6, 2016, the Department of Labor issued its final conflict of interest regulations, which significantly expand who is considered a fiduciary when dealing with a retirement account.
United States
9 May 2016
17
Final Department Of Labor Fiduciary Regulations Under ERISA
DOL issued its long-anticipated final regulation defining who is a fiduciary as a result of giving investment advice to plans subject to ERISA, to participants or beneficiaries of these plans, or to IRAs.
United States
14 Apr 2016
18
CFPB Releases Retirement Tool
On November 12th, 2015 the CFPB released "Planning for Retirement," an interactive, online tool designed to help consumers decide when to claim social security.
United States
25 Nov 2015
19
Department Of Labor Clarifies ERISA Fiduciary Requirements With Respect To Economically Targeted Investments And Environmental, Social, And Governance Goals
Last month, the Department of Labor (the "Department") issued an Interpretive Bulletin 2015-011 (the "Bulletin") clarifying the extent to which the Employee Retirement Income Security Act of 1974...
United States
24 Nov 2015
20
OCIE Launches Sweep Examination Of BD/IA Retirement Investments
The SEC's Office of Compliance Inspections and Examinations is launching a sweep examination that will target the retirement-based savings activities of broker-dealers and investment advisers.
United States
1 Jul 2015
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