The document discusses the fiduciary responsibilities and considerations for Benefit Plan Investors when investing in Preferred Shares, in compliance with ERISA and the Department of Labor regulations. It outlines the requirements for Plan Fiduciaries and the representations they must make regarding their independence and capability to evaluate investment risks.
doj/DataSet10/EFTA01386897.pdf
{"document_date":"February 2018","document_type":"legal","key_organizations":["US Department of Labor","Alpha Group Capital LLC"],"reference_numbers":["29 US CFR Section 2550.404a-1","29 C.F.R. Section 2510.3-21","81 Fed. Reg. 20,997","Section 406 of ERISA","Section 4975 of the Code","Section 202 of the Investment Advisers Act of 1940","Securities Exchange Act of 1934"]}