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11 results found

Article

Fox Rothschild LLP | USA | 7 Mar 2011

All relationships matter--DOLEBSA releases advisory opinion clarifying "Prohibited Transaction" and "Party in Interest" rules pertaining to brokers providing services

Dan Kuperstein, an attorney in our Roseland office, brought to my attention that the DOLEBSA has released an Advisory Opinion clarifying "Prohibited Transaction" and "Party in Interest" rules pertaining to brokers providing services to ERISA plans.

Article

Fox Rothschild LLP | USA | 1 Feb 2011

Proposed FINRA rule impacts private placements

The Financial Industry Regulatory Authority (FINRA) recently proposed an amendment to Rule 5122 that would require various disclosures in any private placement in which a FINRA member firm participatesnot just those in which it is the issuerincluding preparation of offering documents, distribution of offering and advice to the issuer.

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