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The Second Circuit Upholds Reg BI

USA - July 1 2020 On June 26, 2020, the U.S. Court of Appeals for the Second Circuit issued its ruling on the challenge to the legality of the Regulation Best Interest...

James G. Lundy, Sandra D. Grannum, David W. Porteous, Bruce L. Ashton, Joshua J. Waldbeser.

Department of Labor Publishes Request for Information on Pooled Employer Plans

USA - June 23 2020 The Setting Every Community Up for Retirement Enhancement (SECURE) Act of 2019 created a new type of plan that may begin operating in 2021 called a...

Bruce L. Ashton, Joshua J. Waldbeser.

The Second Circuit Hears the Reg BI Challenge Oral Argument

USA - June 4 2020 A three-judge panel of the Second Circuit entertained arguments on June 2, 2020, in a lawsuit seeking to vacate and set aside the Securities and...

James G. Lundy, Sandra D. Grannum, David W. Porteous, Bruce L. Ashton.

CARES Act Required Minimum Distribution Rules: Helping Your Clients Deal with the Issues

USA - May 14 2020 This post outlines CARES Act provisions that affect your plan sponsor clients, plan participants and IRA clients, so you can help them navigate the...

Betsy A. Olson, Bruce L. Ashton.

SEC Examination Guidelines and FAQs on Form CRS

USA - April 22 2020 The SEC has issued guidance addressing the Form CRS. The first is a Risk Alert from the Office of Compliance Inspections and Examinations (OCIE)...

James G. Lundy, Sandra D. Grannum, David W. Porteous, Joshua B. Deringer, Bruce L. Ashton, Joshua J. Waldbeser.