*Letters

Section 406(b)(3) of DOL ERISA

Published on:
October 4, 2007

SIFMA and the Investment Adviser Association (IAA) provide comments to U.S. Department of Labor (DOL) on Section 406(b)(3) of the Employee Retirement Income Security Act of 1974 (ERISA).  The associations request guidance from DOL on providing ordinary business-related meals, gifts, entertainment and conference and the meals, travel, and accommodations associated with those conferences.

Details

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.