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 Nevin Adams8/30/2017 • 0 Comments

The Labor Department has made its proposed delay in the full application of the Best Interest Contract Exemption till July 1, 2019 official. READ MORE

By ASPPA Net Staff8/29/2017 • 0 Comments

On Aug. 29, the American Retirement Association requested relief for taxpayers, plan sponsors and service providers adversely affected by Hurricane Harvey. READ MORE

By Nevin Adams 8/29/2017 • 0 Comments

The Office of Management and Budget has made a quick response to the Labor Department’s request for a delay in the full BIC applicability date. READ MORE

By ASPPA Net Staff8/28/2017 • 0 Comments

A court has ruled that a couple who used funds from an early IRA distribution to pay state and federal taxes cannot claim that qualifies as an exception to the penalty for taking an early distribution. READ MORE

By Nevin Adams8/28/2017 • 0 Comments

A new excessive fee suit claims that plan fiduciaries “abdicated” their responsibilities, allowing the plans’ trustee “…to load the Plans with high-cost mutual funds.” READ MORE

By John Iekel8/28/2017 • 0 Comments

There’s more to RMDs than simply making payments; a recent white paper reminds that the responsibility of making them includes being on time. READ MORE

By Nevin Adams8/25/2017 • 0 Comments

In a written response to a judge in litigation involving the fiduciary rule’s anti-arbitration provision, the Labor Department says the provision will “likely be mooted in the near future.” READ MORE

By ASPPA Net Staff8/24/2017 • 0 Comments

The DOL has announced that it is withdrawing a rule requiring that employers provide a guide or similar material along with fee disclosures. READ MORE

By Nevin Adams 8/23/2017 • 0 Comments

The American Retirement Association has filed a comment letter raising concerns about the application of a new fiduciary regulation in the state of Nevada. READ MORE

By ASPPA Net Staff8/23/2017 • 0 Comments

The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) has extended until the end of this month the deadline to submit nominations to serve on the ERISA Advisory Council. READ MORE

By Nevin Adams8/23/2017 • 0 Comments

A new report finds that recordkeeping, trust and custody fees didn’t drop for the first time since 2010. Then again, they didn’t increase, either. READ MORE

By ASPPA Net Staff8/18/2017 • 0 Comments

In a recent blog post on the fiduciary rule, noted ERISA attorney Fred Reish discusses what the DOL FAQs do not address. READ MORE

By ASPPA Net Staff8/16/2017 • 0 Comments

The DOL's Aug. 9 proposal that the transition period and full Best Interest Contract applicability date of the fiduciary rule be delayed 18 months was good news to some, but such a reaction is not universal. READ MORE

By ASPPA Net Staff8/16/2017 • 0 Comments

The IRS on Aug. 15 announced that it seeks ideas on a video presentation it is preparing on the pre-approved plans opinion letter program. READ MORE

By Ted Godbout8/15/2017 • 0 Comments

Compliance with the DOL's fiduciary rule has reduced access to brokerage advice services and choice, cost billions, and disrupted retirement savers, says a new study. READ MORE

By John Iekel8/11/2017 • 0 Comments

A recent blog entry argues that employers and plan administrators can face complex situations concerning distributions. READ MORE

By Nevin Adams8/9/2017 • 0 Comments

The Labor Department has submitted a proposal to the Office of Management and Budget (OMB) to extend the transition period and full BIC applicability date of the fiduciary regulation. READ MORE

By ASPPA Net Staff8/8/2017 • 0 Comments

The 6th Circuit has said participants in a university’s plan do not have to exhaust administrative remedies before pursuing ERISA claims. A recent blog entry discusses what this means for plan fiduciaries. READ MORE

By Craig Hoffman8/4/2017 • 0 Comments

The DOL has issued new FAQs on the fiduciary regulation that embrace the recommendations made by the ARA/NAPA Government Affairs Committee (GAC) in a recent comment letter. READ MORE

By ASPPA Net Staff7/28/2017 • 0 Comments

What comes to mind when you think of Socrates? Probably not defined benefit plans. And yet, a recent blog entry posits that there is indeed a connection. READ MORE

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