Searching Content indexed under Retirement, Superannuation & Pensions by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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Federal Register: DOL Adopts Final Rule Allowing Use Of Multiple Employer Plans
The DOL final rule allowing small businesses to join together to sponsor 401k plans for their employees was published in the Federal Register.
United States
8 Aug 2019
Lawmakers Introduce Bill To Regulate Change In Control Transactions
Senators Elizabeth Warren, Tammy Baldwin and Sherrod Brown, and Representatives Mark Pocan and Pramila Jayapal introduced a bill to govern the private funds that engage in change in control transactions.
United States
29 Jul 2019
DOL Proposes Regulation To Allow Use Of Multiple Employer Plans
The DOL proposed a new regulation to allow small businesses to join together to sponsor 401k plans for their employees.
United States
26 Oct 2018
SEC Commissioner Advocates For Retirement Security Protection
SEC Commissioner Kara M. Stein warned of a fast-approaching retirement crisis and suggested ways in which the agency ...
United States
18 Oct 2018
SEC Warns Investors of Risks In Self-Directed IRAs
The SEC Office of Investor Education and Advocacy ("OIEA") warned investors of risks associated with "self-directed" individual retirement accounts ("SD-IRAs").
United States
17 Aug 2018
Fifth Circuit Strikes Down DOL Fiduciary Rule
On June 21, 2018, the Fifth Circuit issued a mandate finalizing its March 2018 decision vacating the DOL's 2016 regulation that, among other things, expanded the scope of persons subject ...
United States
3 Jul 2018
State Attorneys General File Motion To Reconsider DOL Fiduciary Rule Decision
Acting New York Attorney General Barbara D. Underwood, along with the Attorneys General of California and Oregon, requested that the Fifth Circuit Court of Appeals reconsider its recent decision ...
United States
21 May 2018
DOL Issues Temporary Non-Enforcement Policy On Fiduciary Rule
The DOL issued a Field Assistance Bulletin setting forth a temporary enforcement policy applicable to investment advice fiduciaries.
United States
15 May 2018
Fifth Circuit Denies Motions To Intervene In DOL Fiduciary Lawsuit
A three-judge panel for the Fifth Circuit Court of Appeals issued an Order.
United States
8 May 2018
DOL Clarifies Plan Fiduciary Responsibilities
On April 23, 2018, the DOL issued a Field Assistance Bulletin ("FAB") to provide the national and regional offices of the Employee Benefits Security Administration assistance with addressing questions received...
United States
3 May 2018
Choose One: Best Interest Or Full Service
On April 18, the SEC approved the publication of three releases proposing new regulatory requirements that are intended to expand and clarify the duties that broker-dealers and investment advisers...
United States
3 May 2018
Fifth Circuit Vacates Fiduciary Rule
A three-judge panel of the Fifth Circuit Court of Appeals issued a ruling vacating the Department of Labor ("DOL") fiduciary rule, as well as two new related exemptions ...
United States
20 Mar 2018
DOL Proposes To Delay Full Applicability Of Fiduciary Rule
On August 9, 2017, the U.S. Department of Labor ("DOL") submitted a proposal to the Office of Management and Budget ("OMB")...
United States
18 Aug 2017
SEC Provides Information On Certain Retirement Investing
The SEC Office of Investor Education and Advocacy ("OIEA") provided basic information on retirement investing through IRS 403(b) and 457(b) plans.
United States
7 Aug 2017
Financial Industry Professionals Testify On Repeal Of DOL Fiduciary Rule
At a hearing before the House Financial Services Subcommittee on Capital Markets, Securities, and Investment, several financial industry professionals (the "panelists") discussed potential negative effects...
United States
26 Jul 2017
DOL Debate On Fiduciary Rule Continues
Controversy over the decision by U.S. Labor Secretary Alexander Acosta to go live with the Fiduciary Rule continues.
United States
19 Jun 2017
SEC Chair Asks For Input On IA And BD Conduct Standards
SEC Chair Jay Clayton solicited comments on "standards of conduct for investment advisers and broker-dealers."
United States
14 Jun 2017
Labor Department Will No Longer Delay Implementation Of Fiduciary Rule
U.S. Secretary of Labor Alexander Acosta decided not to further delay the implementation date of the Fiduciary Rule.
United States
1 Jun 2017
President Signs Joint Resolution Nullifying DOL "Safe Harbor" Rule For Government-Run IRAs
President Donald J. Trump signed H.J. Res. 67, a joint resolution nullifying a Department of Labor ("DOL") rule that created a "safe harbor" from ERISA regulations for local government-run IRAs...
United States
25 Apr 2017
DOL Extends Applicability Date Of Fiduciary Rule
Compliance with the other exemption conditions will apply on January 1, 2018, unless revised or withdrawn by the DOL.
United States
12 Apr 2017
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