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DOL issues final rule on providing investment advice to participants
  • Drinker Biddle & Reath LLP
  • USA
  • November 10 2011

The rules for providing investment advice to participants in section 401(k) plans and individual retirement accounts and annuities (IRAs) have been clarified, and what was once prohibited under ERISA will now be permitted subject to a number of conditions.


Future regulation of financial planners providing tax advice
  • Hall & Wilcox
  • Australia
  • April 21 2011

The Assistant Treasurer, Bill Shorten, has released a broad set of principles that will form a basis for developing regulatory arrangements for financial planners who provide tax advice in the course of giving financial advice.


Ontario Divisional Court releases important decision for religious employers
  • Miller Thomson LLP
  • Canada
  • June 30 2010

The May 14, 2010 decision of the Ontario Divisional Court in Heintz v Christian Horizons has been claimed as a victory by both sides.


EBSA publishes proposed regulations on investment advice
  • Hodgson Russ LLP
  • USA
  • May 28 2010

The Employee Benefits Security Administration (EBSA) recently published new proposed regulations intended to implement provisions of the Pension Protection Act of 2006 (PPA) that create a new statutory exemption from the prohibited transaction rules for the purpose of expanding the availability of investment advice to participants in certain plans like 401(k) plans and individual retirement accounts (IRAs).


California PUC remains on the fence regarding unbundled RECs
  • McDermott Will & Emery
  • USA
  • August 28 2008

Until the California Public Utilities Commission decides to address the issue of whether to allow the use of unbundled Renewable Energy Credits (RECs) for purposes of RPS compliance, the only market for unbundled RECs in California is the voluntary REC market.


Exemption to NASD rule pertaining to foreign affiliates’ research analysts
  • Katten Muchin Rosenman LLP
  • USA
  • February 15 2008

The Securities and Exchange Commission has approved rule changes proposed by the Financial Industry Regulatory Authority, Inc. (FINRA) to amend an exemption to NASD Rule 1050 and New York Stock Exchange Rule Interpretation 34402 for certain research analysts employed by a member’s foreign affiliate who contribute to the preparation of a member’s research report.


Jodi G. Daniel
  • Crowell & Moring LLP

Dorian Drew
  • Norton Rose Fulbright

Paul W. Virtue
  • Hogan Lovells

Kara MacCullough
  • Holland & Knight LLP