DOL's Final Answer on ERISA Section 408(b)(2): Some Assembly Required

Stroock partner Steve Rabitz will be giving an audio presentation as part of the PLI sponsored event "DOL's Final Answer on ERISA Section 408(b)(2): Some Assembly Required" on March 20, 2012.

"Final final" ERISA Section 408(b)(2) regulations will become effective July 1, 2012. Financial service providers such as broker-dealers, mutual fund complexes, investment managers, consultants and other market participants dealing with ERISA plans will need to timely comply with these rules to avoid potential "prohibited transactions" and excise taxes. With much to be done and with little time remaining, this presentation will focus on the intricate requirements of the rules and the operational challenges market participants will need to overcome. In particular, this seminar will focus on considerations for:

  • Broker-dealers, banks, trustees, custodians
  • Investment managers
  • Alternative investments and their managers
  • Mutual fund complexes
  • Recordkeepers and plan administrators
  • Other service providers to ERISA plans

For additional information, please visit