Court of Appeals

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  The Perils of Nonqualified 'Top-Hat' Plans: Feinberg v. Rand McNally

  By William H. Byrnes, Esq., Robert Bloink, Esq., LL.M.  |  March 28, 2011

  These non-qualified deferred plans are a great way to attract and retain executives, but can also have a big downside, as a recent court case shows.

• Appeals Court Vacates SEC's Rule 151A on Indexed Annuities

  By Staff Writer  |  July 14, 2010

  A federal appeals court on Monday July 12, has sided with agents and others who want the Securities and Exchange Commission (SEC) to classify indexed annuities as insurance products rather than as securities.

• SEC Proposes Two-Year Stay on Rule 151A

  By Melanie Waddell, AdvisorOne  |  January 1, 2010

  The Securities and Exchange Commission on December 8 agreed to a two-year delay of the effective date of Rule 151A, which would require that equity...

• SEC Proposes Two-Year Stay on Rule 151A on Regulating Annuities as Securities

  By Melanie Waddell, AdvisorOne  |  December 10, 2009

  Circuit court expected to act on controversial rule soon

• SEC Ordered to Reconsider Annuity Rule

  By Robert F. Keane  |  July 29, 2009

  Finding on July 21 that the SEC had "failed to properly consider the effect of the rule upon efficiency, competition and capital formation," the Court of Appeals for the District of Columbia told the SEC to reconsider Rule 151A.

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  EIAs: Your guess is as good as ours

  By John Sullivan, AdvisorOne  |  July 23, 2009

  Not exactly a trend (because we have no idea where it will end up). But we absolutely had to comment on the D.C. Court of...

• U.S. court of appeals orders reconsideration of 151A

  By Staff Writer  |  July 22, 2009

  A U.S. court of appeals Tuesday ordered the Securities and Exchange Commission to reconsider its rule that treats most equity index annuities as securities. "We hold...

• Mutual-fund fees cases could signal industry change

  By Staff Writer  |  April 17, 2009

  A federal court decision last week concerning mutual-fund fees could raise the stakes for investors and fund companies over standards of fairness. The Wall...

• DEFINING BUSINESS EXPENSES

  By Julian Block  |  December 1, 2008

  Many businesses have learned the hard way that just because they incur expenses for business reasons does not mean that those outlays automatically qualify as...

• 401(k) Participants Can Sue

  By Melanie Waddell, AdvisorOne  |  April 1, 2008

  Will there be an onslaught of lawsuits now that the Supreme Court has ruled that participants in a 401(k) plan can sue to recover losses...