by Dan Buchner and Mark Smith
In 2010, the Department of Labor (DOL) continued an
active program of issuing individual exemptions from the prohibited transaction
rules of ERISA. These rules generally prohibit, among other things:
Sale and lending transactions between: (1)
certain retirement and...
by Mark Smith, Dan
Buchner, and Jamey Medlin
The U.S. Department of Labor (DOL) recently issued three
advisory opinions considering fiduciary or prohibited transaction issues
arising in the management of ERISA plans.
Manager's Selection of Remotely Affiliated Broker-Dealer