*Letters

SIA Submits Comments to the US Department of Labor on Employer-Sponsored Retirement Plan Expenses

Published on:
January 3, 2001
Issue:

The Securities Industry Association (SIA)* provides comments to the Pension and Welfare Benefits Administration of theU.S. Department of Labor (DOL)to express our concern over a recently formed enforcement initiative focusing on employer-sponsored retirement plan expenses. SIA believes certain DOL regional offices are taking a position of the so-called “settlor expenses” that conflicts with Sections 403 and 404 of the Employee Retirement and Income Security Act (ERISA).
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.

Details

Download

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

Get the latest trends, stats, and research on financial markets and securities.