Latest SRO CAT Fee Filings and Comprehensive Review of the CAT
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) to urge the SEC to pause all current and…
SIFMA is pleased to provide comments regarding the Department of Labor’s (“Department”) proposal to amend and partially revoke Prohibited Transaction Exemption (“PTE”) 84-24 under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”). We appreciate the opportunity to comment and hope that our comments are helpful to the Department as it assesses whether changing the current exemption and eliminating the ability of individual retirement accounts (“IRAs”) to rely on the exemption will serve the interests of retirement investors.
SIFMA disagrees with the amendments to, and partial revocation of, PTE 84-24 and urges the Department to permit plans covered by ERISA to decide for themselves how their service providers should be compensated, so long as that compensation is fully disclosed.
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United States Department of Labor: Conflict of Interest Proposed Rule
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SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) to urge the SEC to pause all current and…
SIFMA provided comments to the California Privacy Protection Agency (CPPA) on the Proposed Regulations on CCPA Updates, Cybersecurity Audits, Risk Assessments,…
Court: U.S. Court of Appeals (Fifth Circuit) Amicus Issue: Whether the FTC exceeded its statutory authority under the FTC Act…