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FINRA conducting a sweep examination of pitches to retirees and Section 72(t) withdrawals

Sutherland Asbill & Brennan LLP
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USA
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August 3 2007

The Financial Industry Regulatory Authority (“FINRA”) recently initiated a sweep examination of broker-dealers that may be targeting “potential or early retirees.”

ICI makes recommendations to Department of Labor about ERISA cross-trading exemptions (IA & MF)

Sutherland Asbill & Brennan LLP
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USA
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May 10 2007

The Investment Company Institute ("ICI"), the trade group for the investment company industry, has made certain recommendations to clarify guidance issued by the U.S. Department of Labor ("DOL") concerning cross-trading exemptions for investment advisers subject to ERISA because they are fiduciaries

IM director testifies before Congress about senior issues

Sutherland Asbill & Brennan LLP
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USA
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October 30 2007

Andrew Donohue, Director of the SEC's Division of Investment Management, testified on "Improving Disclosure for Workers Investing for Retirement" before the House Ways and Means Committee

DOL proposes expansion of settlement class exemption

Sutherland Asbill & Brennan LLP
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USA
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November 27 2007

On November 20, 2007, the Department of Labor (“DOL”) proposed to expand the categories of assets that can be accepted by an employee benefit plan in settlement of litigation under Prohibited Transaction Class Exemption (“PTE”) 2003-39

SEC proposes measures to improve corporate governance and enhance investor confidence

Sutherland Asbill & Brennan LLP
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USA
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August 4 2009

The SEC voted on three measures “to better inform and empower investors to improve corporate governance and help restore investor confidence.”

SEC holds open meeting, approves change to Advisers Act custody rule and enhanced proxy disclosures

Sutherland Asbill & Brennan LLP
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USA
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January 8 2010

The SEC held an open meeting at which it approved a change to the Advisers Act custody rule and also a requirement for enhanced proxy disclosure on risk, compensation and corporate governance

SEC tackles Proxy Disclosure Rules

Sutherland Asbill & Brennan LLP
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USA
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December 29 2009

On December 16, 2009, the SEC adopted enhancements to the current proxy disclosure requirements (the "Proxy Disclosure Rules" or the "new rules") in a 4-1 vote

New whistleblower protections for financial service employees

Sutherland Asbill & Brennan LLP
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USA
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October 1 2010

Much attention has been given to the whistleblower protections of Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Blowing your own whistle: trumpeting your whistleblower policies in response to the SEC's new whistleblower program

Sutherland Asbill & Brennan LLP
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USA
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July 28 2011

The U.S. Securities and Exchange Commission (“SEC”) has issued final rules (the “Rules”) implementing the whistleblower incentive program (the “Program”) pursuant to Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”), which added Section 21F to the Securities Exchange Act of 1934 (the “Exchange Act”

Federal courts split on whether Dodd-Frank’s bar on arbitration of whistleblower retaliation claims under Sarbanes-Oxley is retroactive

Sutherland Asbill & Brennan LLP
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USA
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October 9 2012

The Dodd-Frank Wall Street Reform and Consumer Protection Act has cast the enforceability of many employer arbitration agreements into doubt

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