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DOL's Proposed ERISA Exemptions to Facilitate Liquidity for Retirement Plans Holding Auction Rate Securities (PDF)
Eversheds Sutherland via Lexology; registration required 
[Guidance Overview] Nov. 11, 2008 2 pages. Excerpt: On November 7, 2008, the Department of Labor proposed four individual prohibited transaction exemptions, requested by broker-dealers, that would facilitate liquidity for ERISA plans or IRAs holding auction rate securities (ARS) for which the Dutch auction process has failed. MORE >> |
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