May 29, 2012

The Final 408(b)(2) Regulation: Impact on Broker-Dealers

Client Bulletin

This is the third in our series of bulletins on the impact of the Department of Labor (DOL) Final Regulation on service provider disclosures under ERISA Section 408(b)(2). In our Alert released on February 3, 2012, we described the major changes between the Final Regulation and the Interim Final Regulation issued in July 2010. In our bulletin released on May 10, 2012, we described the impact of the changes on investment managers. In this bulletin, we discuss the impact of those changes on broker-dealers. (For background purposes, you can refer to our Alert describing the impact of the Interim Final Regulation on broker-dealers.)

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