May 03, 2011


ERISA §408(b)(2): A Tidal Wave of Change for Broker-Dealers


Los Angeles partner Fred Reish, and Stephen P. Wilkes, of the San Francisco office, will present a webinar on May 3, 2011, sponsored by the Life Insurance and Market Research Association (LIMRA).  The webinar, titled “ERISA §408(b)(2): A Tidal Wave of Change for Broker-Dealers,” will cover the key disclosure requirements for broker-dealers from both legal and practical perspectives, including the substantial burden of compliance.


Fred and Steve, both members of the firm’s Employee Benefits & Executive Compensation Practice Group, will discuss the integration of pension law (ERISA) and securities law (Advisers Act, Exchange Act, FINRA rules) in relation to fiduciary standards of conduct (including when an adviser is a fiduciary under the law), disclosure requirements, and criteria for suitability of investments.  The panelists will address current and proposed rules issued by DOL, SEC and FINRA. 

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