Regulatory Compliance

Regulatory Compliance covers compliance with ethical codes of conduct as well as those promulgated by FINRA and the SEC. 



Regulatory Compliance

Regulatory Compliance

By John Iekel 8/17/2018 • 0 Comments

The PBGC has proposed changes to two schedules to the Form 5500 — Schedule R, Retirement Plan Information, and Schedule SB, Single-Employer Defined Benefit Plan Actuarial Information. READ MORE

By Nevin Adams8/17/2018 • 0 Comments

We now know the terms of an excessive fee lawsuit settlement reported a month ago. READ MORE

By ASPPA Net Staff8/17/2018 • 0 Comments

Join ACOPA on Thursday, August 23 for a webcast on PBGC filing requirements for reportable events and premiums. READ MORE

By John Iekel 8/16/2018 • 0 Comments

The IRS has extended the deadline for submitting on-cycle applications for opinion letters for pre-approved DC plans for the third six-year remedial amendment cycle to Dec. 31, 2018. READ MORE

By John Iekel 8/15/2018 • 0 Comments

The IRS has made available revised versions of a number of forms used for its Voluntary Correction Program (VCP). READ MORE

By John Iekel 8/13/2018 • 0 Comments

Information letters, regulations, legislation aplenty — in ASPPA’s third quarter Washington Update, American Retirement Association Director of Technical Education Robert Kaplan provided his take and insights. READ MORE

By John Iekel 8/13/2018 • 0 Comments

Washington, and federal agencies, are rife with an alphabet soup of acronyms — and the IRS is certainly part of it. A recent blog entry addresses some of the collections of letters applicable to auto-enrollment. READ MORE

By Nevin Adams8/13/2018 • 0 Comments

The judge in a recent excessive fee case decision had a lot to say – about the plan committee members – and the expert witnesses called to testify. READ MORE

By Ted Godbout8/9/2018 • 0 Comments

The Treasury Department and the IRS issued proposed regulations Aug. 8 on the deduction for qualified business income under the new Code Section 199A. READ MORE

By ASPPA Net Staff8/7/2018 • 0 Comments

The American Retirement Association in an Aug. 7 letter to EBSA head Preston Rutledge requested clarity on rollover recommendations in the wake of the 5th Circuit's ruling invalidating the fiduciary rule. READ MORE

By Nevin Adams8/6/2018 • 0 Comments

Multiple employer plans (MEPs) continue to generate plenty of discussion. READ MORE

By Ted Godbout8/3/2018 • 0 Comments

The American Retirement Association has weighed in on the SEC’s Regulation Best Interest proposal. READ MORE

By Ted Godbout8/1/2018 • 0 Comments

Bipartisan legislation has been introduced in the U.S. Senate that would expand the ability of certain retirement plan sponsors to correct inadvertent compliance errors under the IRS’ Employee Plan Compliance Resolution System (EPCRS). READ MORE

By Ted Godbout7/30/2018 • 0 Comments

Eleven states and the District of Columbia have filed suit challenging the Department of Labor’s recently finalized association health plan (AHP) rule. READ MORE

By Ted Godbout7/27/2018 • 0 Comments

Key lawmakers and staffers from the House and Senate discussed legislation relevant to retirement plans and offered insights on congressional activity on July 24. READ MORE

By Ted Godbout7/27/2018 • 0 Comments

Securities and Exchange Commissioner Hester Peirce on July 24 argued that the proposed Regulation Best Interest would set clear standards, even though the word “fiduciary” is not directly incorporated in the proposal. READ MORE

By ASPPA Net Staff7/27/2018 • 0 Comments

An unspecified number of participants in plans recordkept by Vanguard were told their loans had been processed. But they hadn’t. READ MORE

By ASPPA Net Staff7/25/2018 • 0 Comments

The Pension Benefit Guaranty Corporation announced July 25 that it has launched a new web page that compiles PBGC officials’ responses to questions received from practitioners about Title IV requirements. READ MORE

By ASPPA Net Staff7/24/2018 • 0 Comments

The PBGC announced July 23 that the agency has changed its mailing addresses for premium payments and correspondence and enhanced the My PAA e-filing system. READ MORE

By Craig Hoffman7/20/2018 • 0 Comments

After many years of advocacy by the American Retirement Association’s Government Affairs Committee, the IRS has released final regulations allowing for the use of forfeitures to fund QNECs and QMACs. READ MORE

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