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Insurance topics we will be watching in 2014

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • February 6 2014

With the first month of the year behind us, this report outlines major insurance topics that we will be watching throughout 2014.Forces, trends and

DOL proposes to substitute creditworthiness determinations for credit ratings in ERISA prohibited transaction class exemptions

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • June 28 2013

On June 21, 2013, the Department of Labor (DOL) published proposed amendments to certain class exemptions required by Section 939A of the Dodd-Frank

ERISA participant disclosure will not violate SEC advertising rules

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • November 2 2011

In response to a request from the Department of Labor (DOL), the staff of the Securities and Exchange Commission (SEC) on October 26, 2011, issued a no-action letter concluding that disclosure provided by a retirement plan administrator to plan participants that is required by and complies with DOL's new disclosure regulation for participant-directed retirement plans will be treated “as if it were a communication that satisfies the requirements of Rule 482 under the Securities Act.”

DOL and SEC publish investor bulletin on target date funds

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • May 12 2010

On May 6, 2010, the Department of Labor (DOL) and the Securities and Exchange Commission (SEC) jointly published a bulletin addressed to retirement plan investors who may be considering investing in target date funds

SEC finds Merrill Lynch investment adviser omitted information from pension fund clients

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • July 6 2009

The SEC settled a matter instituted against Michael A. Callaway whereby he is censured, must cease and desist from committing or causing any violations and any future violations of 206(2) of the Investment Advisers Act of 1940 (Advisers Act), and must pay a $20,000 penalty

SEC and Department of Labor will hold joint hearing on target date funds

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • June 3 2009

The SEC and the Department of Labor announced that they are accepting requests to participate in a joint hearing on June 18, 2009, examining target date funds

DOL proposes ERISA exemptions to facilitate liquidity for retirement plans holding auction rate securities

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • November 10 2008

On November 7, 2008, the Department of Labor proposed four individual prohibited transaction exemptions, requested by broker-dealers, that would facilitate liquidity for ERISA plans or IRAs holding auction rate securities (ARS) for which the Dutch auction process has failed

DOL issues final regulations under ERISA cross trade exemption

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • October 21 2008

On October 7, 2008, the U.S. Department of Labor (“DOL”) published final regulations, mandated by the Pension Protection Act of 2006 (“PPA”), to implement the new statutory exemption for cross trades of securities involving large ERISA-governed employee benefit plans

Department of Labor and SEC enter memorandum of understanding

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • August 31 2008

The Department of Labor and the SEC entered into a memorandum of understanding (MOU) to memorialize the agencies' longstanding relationship of sharing information on retirement and investments