A letter from Deutsche Bank Securities Inc. discussing trading restrictions on ARCA securities and ERISA Section 408(b)(2) regulations. It highlights the risk of lack of calculation or dissemination of underlying index values during extended trading hours and provides information on ERISA's disclosure requirements.
doj/DataSet10/EFTA01375843.pdf
{"key_people":["M. Barry Bausano","Thomas Patrick"],"document_date":"2012-02-03","document_type":"correspondence","document_subtype":"letter","key_organizations":["Deutsche Bank Securities Inc.","Department of Labor"],"reference_numbers":["DB-SDNY-0071470","SDNY_GM_00217654","EFTA01375843"]}