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Daniel R. Kleinman

合伙人

Washington, DC 电话 +1.202.739.5143 Fax +1.202.739.3001

1111 Pennsylvania Ave. NW//Washington, DC 20004-2541//United States

Daniel R. Kleinman advises businesses on the fiduciary responsibilities provisions (Title I) of the Employee Retirement Income Security Act (ERISA). He also counsels these clients on related tax, corporate, and securities laws in connection with the structuring and marketing of investment products (including private equity and hedge funds) and financial services to employee benefits plans. Additionally, Daniel handles issues related to the regulation of broker-dealers and investment advisers under US federal and state securities laws.

奖项与社会关系

Recommended, Finance: Structured finance: derivatives and structured products, The Legal 500 US (2019)

Member, Practice Group of the Year, Asset Management, Law360 (2017)

Ranked, Employee Benefits & Executive Compensation, District of Columbia, Chambers USA (2016–2019)

执业资格

  • District of Columbia
  • Pennsylvania

教育背景

  • 乔治敦大学法学院, 2002, LL.M.
  • New York University, 1992, B.S.
  • Pennsylvania State University, Dickinson School of Law, 1997, J.D.

行业部门

执业领域

地区

Trending Topics

Events

2/4/2020 - SECURE Act: Pooled Employer Plans - An Introduction
9/10/2019 - SEC Standards of Conduct: Navigating New Requirements for Retail Advice Disclosures
6/27/2019 - SEC Standards of Conduct: Navigating the Investment Adviser Interpretation
11/14/2018 - 2018 Investment Adviser Perspectives: Digital Advice Roundtable
3/18/2018 - 2018 SIFMA Compliance & Legal Annual Seminar
11/9/2017 - 2017 Investment Adviser Perspectives: Digital Advice Roundtable
3/19/2017 - 2017 SIFMA Compliance & Legal Society Annual Seminar
3/13/2017 - The DOL Fiduciary Rule – Where We Are and Where We Are Going
11/3/2016 - 2016 Investment Adviser Perspectives: Digital Advice Roundtable
9/21/2016 - 2016 Annual Private Fund Investors Roundtable
8/1/2016 - PLI's ERISA 2016: The Evolving World
6/17/2016 - 2016 Money Management Institute Legal & Compliance Seminar
5/25/2016 - Money Management Institute Forum: Operationalizing the DOL Rule
5/11/2016 - SIFMA 2016 DOL Fiduciary Seminar
5/10/2016 - Investment Company Institute (ICI) Assessing the New DOL Fiduciary Rule: Policy and Practical Challenges
5/2/2016 - SIFMA 43rd Annual Operations Conference
4/20/2016 - 2016 Money Management Institute Annual Convention
1/31/2016 - IMCA 2016 Investment Consultants Conference
10/5/2015 - ALI Continuing Legal Education: Mutual Funds Today 2015: Current Issues and Regulatory Developments in Investment Management
6/17/2015 - 2015 MMI Legal & Compliance Seminar
2/19/2015 - 2015 SEC Examination and Enforcement Trends for Investment Advisers Roundtable Road Show
4/27/2014 - FIRMA 28th National Risk Management Training Conference
1/15/2014 - SIFMA Savings and Retirement Seminar
10/15/2013 - Plan Sponsor Basics: Fiduciary Issues for Retirement Plan Sponsors
12/7/2011 - 2011 IRA Roundtable for Financial Institutions

News

Second Half of 2019 - Implementing Reg BI: Financial Services Firms Look for Guidance, SVIA
6/27/2011 - Morgan Lewis Promotes Twelve Lawyers to Partnership

Publications

5/19/2022 - Could Sponsoring a Pooled Employer Plan Grow Your Business?
5/10/2022 - Digesting the New Proposed Exception to the ‘One-Bad-Apple Rule’ for MEPs and PEPs
2/22/2021 - ERISA Fiduciaries Under a Biden Labor Department: What Is on the Horizon?
February 2021 - DOL’s Final ERISA Proxy Voting Rule Largely Changed to Principles-Based Approach, Practical Guidance
1/11/2021 - Year-End Stimulus Bill Includes ERISA Disclosure Requirements for Certain Group Health Plan Service Providers
12/22/2020 - DOL’s Final ERISA Proxy Voting Rule Largely Changed to Principles-Based Approach
11/17/2020 - DOL Finalizes ‘Financial Factors’ ERISA Regulation
10/6/2020 - Bringing PEPs into Perspective: DOL’s Proposed Rule on Pooled Plan Provider Registration and Other Guidance, Bloomberg Tax
9/4/2020 - DOL Proposes Rules on Pooled Plan Provider Registration Process
8/14/2020 - DOL Take Three: ‘Five-Part Test’ Officially Reinstated; Proposed Investment Advice Exemption
7/14/2020 - Recent Developments in ERISA Plan Investment Regulation
6/24/2020 - Information Requested on Pooled Employer Plan Prohibited Transaction Issues: Act Quickly to Help Shape Exemptive Relief
5/8/2020 - Stay Tuned – DOL to Issue RFI on Pooled Employer Plans
12/26/2019 - SECURE Act Increases Access to Retirement Plans with ’Pooled Employer Plans’
7/12/2019 - In Focus: Deciphering the SEC’s Standard of Conduct for Investment Advisers
6/27/2019 - In Focus: SEC Form CRS Roadmap – How to Navigate Its Operational Challenges
6/19/2019 - Update on State Fiduciary Duty Regulations
6/6/2019 - SEC Adopts Standards of Conduct For Retail Advice
2/8/2019 - Nevada Proposes New Fiduciary Rules that Would Increase Broker-Dealer and Investment Adviser Obligations
1/4/2019 - Plan Distribution and Rollover Guidance After Chamber of Commerce v. DOL: An Analysis of the Deseret Letter, Bloomberg Tax Compensation Planning Journal
September 2018 - Plan Distribution and Rollover Guidance After Chamber of Commerce v. US Department of Labor
3/20/2018 - Fifth Circuit Strikes Down DOL Fiduciary Rule
3/20/2018 - Fifth Circuit Vacates DOL Fiduciary Rule ‘In Toto’
1/29/2018 - UPDATE: US Tax Reform Impacts Roth IRA Conversions
1/17/2018 - Impact of US Tax Reform on Roth IRA Conversions
1/17/2018 - US Tax Reform Impacts Roth Individual Retirement Account Conversions
11/30/2017 - It’s Official! DOL Finalizes Delay
9/6/2017 - DOL Issues Proposed Delay of Fiduciary Rule Compliance Date and Enforcement Relief
8/16/2017 - DOL Fiduciary Rule Updates
8/11/2017 - DOL Issues Additional Fiduciary Rule Transition FAQs
Updated July 6, 2017 - DOL Seeks Additional Comments on Fiduciary Rule
6/7/2017 - DOL Fiduciary Rule: Ready, Set, Go! But How Far?
3/6/2017 - Fiduciary Rule—Not Delayed Yet
2/10/2017 - Update on DOL Fiduciary Rule Applicability Delay and Litigation
2/6/2017 - President Trump Issues Memorandum on DOL Fiduciary Duty Rule
1/20/2017 - Two New Sets of DOL Fiduciary Rule FAQs
1/19/2017 - New Guidance Restores 1994 ERISA Proxy Voting Interpretation
11/14/2016 - The 2016 Election and the Future of the Department of Labor Fiduciary Rule
11/1/2016 - Fiduciary Rule FAQs Challenge Back-End Recruitment Bonuses
10/28/2016 - DOL Issues Fiduciary Rule FAQs
10/28/2016 - DOL Releases First Wave of FAQs on Fiduciary Rule
4/8/2016 - Final DOL Fiduciary Rule—First Impressions
1/29/2016 - DOL Sends Fiduciary Rule to OMB for Review
12/23/2015 - Any Congressional Action on Proposed DOL Fiduciary Rule Postponed to 2016
5/20/2015 - DOL’s Proposal to Expand Fiduciary Definition Would Bring Many Service Providers Into Scope
3/23/2015 - Department of Labor Retirement Initiative Fails to Consider Current Regulatory Regime, which Comprehensively Protects Investors, Including IRA Investors, and Preserves Investor Choice
3/5/2015 - DOL Sends Proposed Conflict of Interest Rule to OMB for Review
February 2015 - Roundtable Road Show
4/10/2014 - Virtual Asset Management Roundtable Series: SEC Examination Trends for Investment Advisers
3/18/2014 - DOL Proposes Amendment to Service Provider Fee Disclosure Regulation
2/6/2014 - FINRA and SEC to Focus on IRA Rollover Practices in 2014
2/14/2013 - DOL Clarifies Application of ERISA Rules to Cleared Swaps
5/10/2012 - Department of Labor Releases Guidance on New Disclosure Rules
5/7/2012 - How Managed Account Program Sponsors and Managers can Navigate the New ERISA Section 408(b)(2) Disclosure Requirements, presented for the Money Management Institute Webinar Series
2/8/2012 - Final DOL 408(b)(2) Disclosure Regulation
2/2/2012 - DOL Releases Final 408(b)(2) Disclosure Regulation
12/6/2011 - DOL Calls into Question Whether Boilerplate Indemnification Language in an IRA Brokerage Agreement Constitutes a Nonexempt Prohibited Transaction
11/8/2011 - Service Providers to ERISA Plans: DOL’s New Disclosure Regulations Are Imminent—Are You Ready?
12/9/2010 - The Department of Labor’s Recent Flurry of Fiduciary Regulations: New Obligations for Plan Fiduciaries and Plan Service Providers