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Retirement Security Law Commons

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Banking and Finance Law

The University of Akron

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Securities Laws Implications For Savings Associations Acting As Trustees For Ira's And Keoghs Aug 2015

Securities Laws Implications For Savings Associations Acting As Trustees For Ira's And Keoghs

Akron Law Review

This article will focus on the major problem area which has resulted from the above legislation. That problem is whether or not a savings association must register with the Securities and Exchange Commission (SEC) pursuant to the Securities Act of 1931 or the Investment Company Act of 1940, as a consequence of acting as trustee for an IRA or Keogh plan.