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547 results found

Article

Porter Wright Morris & Arthur LLP | USA | 15 May 2017

Will the DOL continue to make ESOPs a compliance priority?

One question that has been on the minds of plan sponsors is how aggressive the Department of Labor (DOL) under President Trump will be compared to

Article

Porter Wright Morris & Arthur LLP | USA | 15 May 2017

Will the DOL continue to make ESOPs a compliance priority?

One question that has been on the minds of plan sponsors is how aggressive the Department of Labor (DOL) under President Trump will be compared to

Article

Vedder Price PC | USA | 28 Feb 2017

SEC Interpretive Letter Permits Brokers to Charge Commissions on Sales of "Clean Shares" of Mutual Funds

On January 11, 2017, the staff of the SEC's Division of Investment Management issued an interpretive letter (the Interpretive Letter) expressing its

Article

Sidley Austin LLP | USA | 23 Feb 2017

DOL Interpretive Bulletin 2016-01: Voting Proxies and Exercising Other Shareholder Rights

The U.S. Department of Labor (DOL) Interpretive Bulletin 2016-01 (the 2016 Bulletin), which was published in the Federal Register on December 29

Article

Spencer Fane LLP | USA | 23 Jan 2017

SEC Guidance Update and the DOL's Fiduciary Rule

In December, the Division of Investment Management of the Securities and Exchange Commission (“SEC”) issued Guidance Update No. 2016-06 (“Update”)

Article

Dechert LLP | USA | 18 Nov 2016

DOL “Investment Advice” FAQs: Considerations for Investment Advisers, Broker-Dealers and Insurance Companies

The U.S. Department of Labor (DOL) issued in April 2016 the final version of its controversial “investment advice” regulation and various related

Article

Paul Hastings LLP | USA | 20 Oct 2016

Feel the burn? Equity compensation plan amendment to increase withholding is not a material amendment

Many NASDAQ or NYSE listed companies looking for avenues to address depleted share reserves under equity incentive plans without having to seek

Article

Dechert LLP | USA | 7 Oct 2016

The Evolving DOL Fiduciary Rule: Impact on Mutual Fund Distribution and Broker-Dealers Generally

The U.S. Department of Labor (DOL) issued the final version of its "fiduciary investment advice" regulation (Final Rule) on April 6, 2016, following a

Article

Morrison & Foerster LLP | USA | 4 Aug 2016

Acquired Fund Fee Expenses and Business Development Companies

The requirement of the Securities and Exchange Commission (the "SEC") for registered open-end funds to disclose "acquired fund fees and expenses"

Article

Proskauer Rose LLP | USA | 29 Jul 2016

Fidelity Prevails In ERISA Float Litigation

The First Circuit joined the Eighth Circuit in finding that Fidelity’s practice of earning overnight “float” interest on the cash paid out to 401(k)

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