Resource Library - Investment Adviser Association

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Tag: ERISA

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Class Exemption PTE 77-4 for Certain Transactions Between Investment Companies and Employee Benefit Plans

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March 31, 1977

Keywords: ERISA, Selected Rules and Other Regulatory Guidance

Categories & Topics: Compliance, ERISA & Pension Plans

Use of soft dollars and directed commission arrangements by ERISA fiduciaries

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July 24, 1986

Keywords: ERISA, Selected Rules and Other Regulatory Guidance

Categories & Topics: Compliance, ERISA & Pension Plans

Meals, Entertainment and Gratuities slides

Outlines Articles and Memoranda

January 01, 2007

Keywords: ERISA, ERISA Requirements and Other Pension Plan Issues, Outlines Articles and Memoranda

Categories & Topics: Compliance, ERISA & Pension Plans

Form 5500 SF Annual Reporting and Disclosure – 2007 Adopting Release

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November 16, 2007

Keywords: ERISA, Selected Rules and Other Regulatory Guidance

Categories & Topics: Compliance, ERISA & Pension Plans

IAA Comments to EBSA on Hearing on Proposed Regulation Under Section 408(b)(2)

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April 18, 2008

Keywords: ERISA, IAA Comment Letters and Statements

Categories & Topics: Compliance, ERISA & Pension Plans

Statutory Exemption for Cross-Trading of Securities – Adopting Release

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October 07, 2008

Keywords: ERISA, Selected Rules and Other Regulatory Guidance

Categories & Topics: Compliance, ERISA & Pension Plans

GUIDANCE REGARDING ERISA FIDELITY BONDING REQUIREMENTS

Selected Rules

November 25, 2008

Keywords: ERISA, ERISA Requirements and Other Pension Plan Issues, Selected Rules and Other Regulatory Guidance

Categories & Topics: Business Ops/HR, Compliance, ERISA & Pension Plans, Insurance

Supplemental Frequently Asked Questions about the 2009 Schedule C

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October 01, 2010

Keywords: ERISA, Selected Rules and Other Regulatory Guidance

Categories & Topics: Compliance, ERISA & Pension Plans

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