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Retirement Plan › Prohibited Transactions › Disclosure

Faegre Drinker Biddle & Reath LLP

The New Fiduciary Rule (38):The Fiduciary Acknowledgment

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The Department of Labor has issued its final regulation defining fiduciary status for investment advice to retirement investors and the related exemptions for prohibited conflicts—PTEs 2020-02 and 84-24. The exemptions...more

Faegre Drinker Biddle & Reath LLP

Compensation Requirements under Proposed Amendments to PTE 2020-02

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Broker-dealers and their registered representatives (advisors) providing services to private sector tax-qualified and ERISA-governed retirement plans, participants in those plans and IRA owners (collectively, Retirement...more

Faegre Drinker Biddle & Reath LLP

Discretionary Management of IRAs: Conflicts and Prohibited Transactions

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Both the Internal Revenue Code (Code) and the Employee Retirement Income Security Act of 1974 (ERISA) include prohibited transaction provisions that literally prohibit certain transactions (unless exempted by statute or by a...more

McDermott Will & Emery

Department of Labor Exemption Impacts Investment Advice Fiduciaries

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The US Department of Labor (DOL) recently issued guidance concerning a new exemption under the prohibited transaction provisions of the Employee Retirement Income Security Act of 1974 (ERISA) in connection with the provision...more

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