Open Access. Powered by Scholars. Published by Universities.®
- Discipline
- Publication
- Publication Type
Articles 1 - 2 of 2
Full-Text Articles in Retirement Security Law
The Other Securities Regulator: A Case Study In Regulatory Damage, Anita K. Krug
The Other Securities Regulator: A Case Study In Regulatory Damage, Anita K. Krug
Articles
Although the Securities and Exchange Commission is the primary securities regulator in the United States, the Department of Labor also engages in securities regulation. It does so by virtue of its authority to administer the Employee Retirement Income Security Act (ERISA), the statute that governs the investment of retirement assets. In 2016, the DOL used its securities regulatory authority to adopt a rule that, for the first time, designates securities brokers who provide investment advice to retirement investors as fiduciaries subject to ERISA's stringent transaction prohibitions. The new rule's objective is salutary, to be sure. However this Article shows that, …
Erisa Preemption Of Community Property Law—Francis V. United Technologies Corp., 458 F. Supp. 84 (N.D. Cal. 1978), Donald L. Shanks
Erisa Preemption Of Community Property Law—Francis V. United Technologies Corp., 458 F. Supp. 84 (N.D. Cal. 1978), Donald L. Shanks
Washington Law Review
The theory of modem domestic relations law—marriage as partnership—requires recognition of the non-employee spouse's ownership interest in the pension. This note challenges the Francis court's finding that recognition of the non-employee spouse's ownership interest was preempted by ERISA, concluding that Congress did not intend to bring about the regression in domestic relations law that Francis threatens.