Compliance News
Legislative and Judicial Actions
The SEC favors proxy voting advice rule amendments; the PBGC issues final rule implementing the Special Financial Assistance program; appeals court rules in favor of defendants in CommonSpririt Health ERISA lawsuit; and more.
Reported by
PLANADVISER staff
To access this premium content, please sign up for a free account!
You Might Also Like:
‘Small’ RIAs Got Larger Under SEC Amendments
The net-asset threshold for small registered investment advisers is now 40 times larger and will be adjusted for inflation every...
FINRA’s New Projection Rule Could Expand Use of Retirement Illustrations
The SEC-approved rule aligning broker/dealer and adviser marketing standards could increase projected returns and communications, while raising new compliance concerns.
Capital Group Asks for SCOTUS Review on Participant’s Standing in 401(k) Lawsuits
Defendants do not think participants should be able to sue on behalf of other participants in defined contribution lawsuits.
