SEC Marketing Rule Insights By Seth Gadreau and Stephen Wilkes With the U.S. Securities and Exchange Commission (“SEC”) November 4, 2022, date for full compliance with its “Marketing Rule” (found here) approaching, firms need to be working towards updating their...
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White Paper: Proposed Changes to Prohibited Transaction Exemption Procedures
By: Wayne Miller, Of Counsel; Stephen P. Wilkes, Partner; Mark Greenstein, Of Counsel DOL PROPOSES TOUGHER PROHIBITED TRANSACTION EXEMPTION PROCEDURES LAW The Employee Retirement Income Security Act of 1974, as amended (“ERISA”), was enacted in part to protect the...