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ERISA Investment Disclosures to Participants Will Satisfy NASD Rules
Deloitte via BenefitsLink 
Feb. 7, 2012
The FINRA relief is similar to that issued earlier by the SEC. In an October 2011 No-Action letter, the SEC agreed to treat information provided by a plan administrator to participants that is 'required by and complies with' the ERISA ? 404(a) disclosure requirements as satisfying the requirements of Rule 482 under the 1933 Act. The ERISA ? 404(a) regulations include an optional Model Comparative Chart for making the required financial disclosures to plan participants.
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