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403(b) and 457(b) Plans Going Under the Regulatory Microscope
Drinker Biddle 
Nov. 7, 2019 "It appears that the SEC has initiated a 'sweep' examination to inquire into the sales practices applicable to retirement plans for teachers and state and local government employees.... Further, the New York Department of Financial Services recently launched an investigation into the sales tactics and costs involved with 403(b) plans ... Many of these 403(b) and 457(b) plans are not subject to ERISA and its higher regulatory standards[.]" MORE >> |
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