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Results: 1-10 of 132

SEC’s share class selection disclosure initiative: what’s next
  • Eversheds Sutherland (US) LLP
  • USA
  • February 22 2018

On February 12, 2018, the Division of Enforcement of the US Securities and Exchange Commission (SEC) announced the Share Class Selection Disclosure


ERISA participant disclosure will not violate SEC advertising rules
  • Eversheds Sutherland (US) 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.”


Model privacy forms
  • Eversheds Sutherland (US) LLP
  • USA
  • January 11 2011

As you may be aware, on November 16, 2009, various Federal regulatory agencies, including the Securities and Exchange Commission (the Commission), the Commodity Futures Trading Commission, the Federal Trade Commission, and various Federal banking regulators, adopted model privacy forms that financial institutions may rely on as a safe harbor to provide disclosures under the agencies' privacy rules (in the case of the Commission, Regulations S-P and S-AM


Dodd-Frank Act rulemakingsend-user update
  • Eversheds Sutherland (US) LLP
  • USA
  • January 7 2011

This Legal Alert provides an overview of the status of significant rulemaking developments since the enactment of the landmark Dodd-Frank Wall Street Reform and Consumer Protection Act (D-F Act) this past summer, with a focus on those rules that will have an impact on end-users of derivatives


2010 in review: ERISA individual prohibited transaction exemptions
  • Eversheds Sutherland (US) LLP
  • USA
  • January 6 2011

In 2010, the Department of Labor (DOL) continued an active program of issuing individual exemptions from the prohibited transaction rules of ERISA


DOL proposes further disclosures for target date funds and default investments
  • Eversheds Sutherland (US) LLP
  • USA
  • December 6 2010

On November 30, 2010, the Department of Labor (DOL) proposed new regulations requiring plan fiduciaries to provide enhanced disclosures about target date funds to retirement plan participants directing their own investments


Securities and Exchange Commission staff urges more tailored derivatives-related disclosures by investment companies
  • Eversheds Sutherland (US) LLP
  • USA
  • August 3 2010

Late last Friday, the staff of the Securities and Exchange Commission (SEC) issued guidance on disclosures relating to investments in derivatives by investment companies


Sutherland issues annual review of FINRA sanctions: finds FINRA slowdown began to reverse in 2009
  • Eversheds Sutherland (US) LLP
  • USA
  • July 12 2010

Sutherland Asbill & Brennan LLP has completed its annual review of disciplinary actions brought by the Financial Industry Regulatory Authority (FINRA) in 2009


DOL and SEC publish investor bulletin on target date funds
  • Eversheds Sutherland (US) 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 staff evaluating the use of derivatives by funds
  • Eversheds Sutherland (US) LLP
  • USA
  • March 26 2010

In a release issued yesterday, the Division of Investment Management of the Securities and Exchange Commission (SEC) announced that its staff is "conducting a review to evaluate the use of derivatives by mutual funds, exchange-traded funds (ETFs) and other investment companies."