DOL Confirms Effective Date for Investment Advice PTE
The DOL’s EBSA has confirmed that prohibited transaction exemption 2020-02 entitled, “Improving Investment Advice for Worker & Retirees,” will take effect on February 16.
DOL Releases Final PTE on Investment Advice
The DOL addresses how financial organizations or professionals can receive certain compensation that would otherwise violate the prohibited transaction rules.
Investment Advice Fiduciary Class Exemption Published
Investment Advice Fiduciary Class Exemption Published, Effective Date Set
DOL Issues Investment Advice Fiduciary Class Exemption
The EBSA has issued the long-awaited Prohibited Transaction Exemption providing guidance to investment advisors who counsel retirement and other investors.
DOL Final ESG Guidance Published
The DOL’s final rule on environmental, social, and governance (ESG) investments is published in the Federal Register.
DOL Releases Final ESG Guidance
The DOL has posted a final rule regarding guidance initially focused on restricting the use of environmental, social, and governance (ESG) investments.
DOL’s Proposed Rule Solidifies Shareholder’s Rights
On August 31, 2020, the DOL issued a proposed rule to clarify an ERISA fiduciary’s duties related to shareholder rights, including proxy voting on corporate stock.
Washington Pulse: PEP Model Evolves with DOL Proposed Registration Guidance
The DOL has issued a proposed rule on registration for pooled plan providers (PPPs), who may begin offering pooled employer plans (PEPs) on January 1, 2021.
DOL Proxy Voting and Shareholder Rights Proposed Regulations
EBSA publishers proposed regulations intended to govern proxy voting and shareholder rights exercised by fiduciaries of ERISA-governed retirement plans.
Public Hearing on Proposed Investment Advice Prohibited Transaction Exemption Set
The EBSA has announced a September 3 public hearing on the Improving Investment Advice for Workers and Retirees exemption.
No Results
