Posts from April 2012.

The prohibited transaction provisions of ERISA limit arrangements and payments to service providers to ERISA-covered retirement plans, including investment advisers, which may involve conflicts of interest with respect to the use of plan assets.  An exemption from the prohibited transaction...

FINRA announced this week it is requesting comment on proposed express procedures that would permit registered representatives who are the "subject of" allegations of sales practice violations made in arbitration claims (but are not named as actual parties to the...

In January 2010, the SEC established a formal program to encourage and reward individuals who cooperate with the agency in its enforcement investigations and litigation. On March 19, the SEC’s Enforcement Director, Robert Khuzami, issued a public statement touting the...

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