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 Adams6/2/2016 • 0 Comments

As anticipated, a number of retirement industry trade groups and the U.S. Chamber of Commerce have taken their case against the Department of Labor’s (DOL) fiduciary regulation to the courts. READ MORE

By ASPPA Net Staff6/1/2016 • 0 Comments

A number of industry trade groups have been contemplating litigation to stop the Department of Labor’s (DOL) fiduciary regulation even before there was a final regulation — that litigation could be filed as soon as today, according to reports. READ MORE

By ASPPA Net Staff6/1/2016 • 0 Comments

The American Retirement Association on May 31 submitted a letter to the IRS on the proposed compliance questions for the Form 5500 series. READ MORE

By ASPPA Net Staff5/31/2016 • 0 Comments

ASPPA is always providing information and insights that will be valuable to its members! Following is a summary of upcoming webcasts and events. READ MORE

By ASPPA Net Staff5/31/2016 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) has released an annual update of its Data Book. READ MORE

By ASPPA Net Staff5/31/2016 • 0 Comments

The IRS has updated the comprehensive page on its website that provides information about, and links to, information about retirement plan documents. READ MORE

By Andrew Remo5/25/2016 • 0 Comments

Republicans in Congress continued their campaign to kill the Department of Labor’s fiduciary rule — and managed to pull three Senate Democrats over to their side. READ MORE

By ASPPA Net Staff5/25/2016 • 0 Comments

The American Retirement Association has submitted a letter to the IRS in response to the request in IRS Notice 2016-16 for comments on additional guidance needed for mid-year changes to safe harbor plans. READ MORE

By ASPPA Net Staff5/24/2016 • 0 Comments

The impact of the Department of Labor’s May 18 rule revising the federal overtime rules may not be confined to HR and payroll — retirement plan administrators and service providers may be affected as well. READ MORE

By ASPPA Net Staff5/19/2016 • 0 Comments

The IRS has published final regulations regarding disbursements from a designated Roth account that is directly rolled over to an eligible retirement plan. READ MORE

By ASPPA Net Staff5/18/2016 • 0 Comments

If a disaster is declared by the president, the IRS will postpone certain retirement plan and IRA deadlines for affected taxpayers. Here's a look at relevant IRS guidance. READ MORE

By ASPPA Net Staff5/18/2016 • 0 Comments

The tax incentives currently extended to workplace retirement plans are a potential casualty of a tax reform proposal that was the subject of a Senate Finance Committee hearing that included testimony from American Retirement Association Director of Retirement Policy Judy Miller. READ MORE

By ASPPA Net Staff5/13/2016 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) on May 13 issued an interim rule amending its regulations to significantly raise the per-day penalties under ERISA for failing to give proper notice. READ MORE

By Nevin Adams5/9/2016 • 0 Comments

In a much-anticipated ruling, the Treasury Department has rejected the Central States pension fund’s controversial petition seeking to cut participant and retiree benefits. READ MORE

By ASPPA Net Staff5/3/2016 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) has updated My Plan Administration Account (My PAA), the web-based application that allows electronic submission of premium filings and payments. READ MORE

By ASPPA Net Staff5/3/2016 • 0 Comments

The U.S. Department of Labor’s Employee Benefits Security Administration has reached a settlement agreement with an investment company over how it handled a short-term investment CIT. READ MORE

By Nevin Adams5/3/2016 • 0 Comments

Every so often someone puts out a list of what are said to be the “best” 401(k) plans, based on varied benefits and plan design structure criteria. But for my money, here’s what the best plans do. READ MORE

By ASPPA Net Staff4/29/2016 • 0 Comments

The Financial Industry Regulatory Authority (FINRA) in a recent notice provides guidance on the responsibilities of firms regarding supervision of the sale of pension income stream products by their associated persons. READ MORE

By ASPPA Net Staff4/29/2016 • 0 Comments

The U.S. House of Representatives adopted a resolution April 28 disapproving of the Labor Department’s final fiduciary regulation. READ MORE

By ASPPA Net Staff4/27/2016 • 0 Comments

The PBGC on April 27 announced that it is proposing amendments to its premium payments regulation; the proposal applies to single-employer and multiemployer plans. READ MORE

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