November 1, 2012

ERISA Disclosures: Questions Broker-Dealers Are Asking

Financial Services Institute


Los Angeles partners Fred Reish and Bruce Ashton presented a Financial Services Institute webinar titled, “ERISA Disclosures: Questions Broker-Dealers Are Asking” on Thursday, Nov. 1.

Despite business closures caused by hurricane Sandy, representatives of over 40 broker-dealer firms listened to the webinar, in which Fred and Bruce addressed questions about the service provider regulation under ERISA Section 408(b)(2) and the participant disclosure regulation, or Regulation 404a-5.

Services and Industries

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