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 ASPPA Net Staff2/24/2016 • 0 Comments

A staff report from the Senate Committee on Homeland Security and Governmental Affairs sharply criticizes the Department of Labor’s (DOL) fiduciary proposal and what it described as a “flawed process” in handing down that rule. READ MORE

By ASPPA Net Staff2/24/2016 • 0 Comments

On Feb. 22, 2016, the American Retirement Association (ARA) filed a comment letter with the IRS regarding the new compliance questions to be added to the Form 5500, potentially for the 2016 plan year reports. READ MORE

By ASPPA Net Staff2/23/2016 • 0 Comments

The Securities and Exchange Commission (SEC) will proceed with its work on investment advice standards rules and oversight of advisors, SEC Chair Mary Jo White said Feb. 19 at the Practising Law Institute conference in Washington, D.C. READ MORE

By ASPPA Net Staff2/18/2016 • 0 Comments

The DOL is rolling out a new initiative focused on the defined benefit plans of a number of Fortune 500 companies, examining three key areas. READ MORE

By ASPPA Net Staff2/16/2016 • 0 Comments

A new report suggests that while early distributions from retirement plans are a cross-generational issue, it may be a bigger behavioral problem than is widely appreciated. READ MORE

By ASPPA Net Staff2/16/2016 • 0 Comments

For 2015, plan sponsors should skip the compliance questions that were just added to the Form 5500-SF. A revised version of the 2015 instructions for Form 5500-SF, Short Form Annual Return/Report of Small Employee Benefit Plan contains the new information regarding the optional questions. READ MORE

By Brian Graff2/16/2016 • 0 Comments

Buried in a Treasury Department proposal to make it easier for large corporations to close their defined benefit plans to new entrants is a provision that will make it harder for small businesses to form new retirement plans or maintain their current ones. READ MORE

By Nevin Adams2/12/2016 • 0 Comments

Two powerful congressional voices have taken several financial services firms to task for characterizing the Department of Labor’s fiduciary rule proposal as “unworkable” with dire consequences if enacted — while painting a very different picture for their investors. READ MORE

By ASPPA Net Staff2/11/2016 • 0 Comments

The IRS has proposed additional limitations on suspension of benefits applicable to certain pension plans under the Multiemployer Pension Reform Act of 2014 (MPRA). READ MORE

By ASPPA Net Staff2/10/2016 • 0 Comments

Increased longevity is good news, but for pension plans it creates more stress — it spells greater drain and heightens the likelihood that plans will pay benefits for a longer period.

By Andrew Remo2/10/2016 • 0 Comments

The Obama administration’s final budget wasn’t a complete retread of its prior retirement plan proposals, but there wasn’t much good news for employer-sponsored retirement plans. READ MORE

By ASPPA Net Staff2/8/2016 • 0 Comments

Wrapping up a first week of February with action on legislation designed to block, slow or thwart the Department of Labor’s (DOL) fiduciary rule, the U.S. Senate finally got into the act with two pieces of legislation. READ MORE

By Martella Joseph2/5/2016 • 0 Comments

The American Retirement Association’s Legislative Relations Committee (LRC) has developed more than 30 legislative proposals contained in a document, entitled “Proposals to Enhance the Private Retirement Plan System,” to improve the administration and operation of plans. READ MORE

By ASPPA Net Staff2/4/2016 • 0 Comments

The U.S. Chamber of Commerce has made suggestions in a recent paper for ways to bolster the private-sector retirement system. READ MORE

By ASPPA Net Staff2/4/2016 • 0 Comments

The Winter 2016 issue of Plan Consultant magazine, now available on ASPPA Net, marks the start of ASPPA’s 50th anniversary year with a cover story that recaps ASPPA’s first five decades. READ MORE

By ASPPA Net Staff2/4/2016 • 0 Comments

The latest issue of Employee Plans News, a periodic IRS newsletter, highlights recent developments concerning the IRS Employee Plans Determination Letter Program, as well as links to recent guidance and updated forms and publications. READ MORE

By ASPPA Net Staff2/3/2016 • 0 Comments

The Department of Labor has filed suit against the International Association of Machinists National Pension Fund and its board of trustees, seeking a court order requiring them to restore any losses the fund suffered due to alleged ERISA violations and requiring the fund to implement reforms. READ MORE

By ASPPA Net Staff2/3/2016 • 0 Comments

When an employee retires, that’s the end of the connection between the ex-employee and the former employer’s plan. Right? Not necessarily, say researchers at PIMCO. READ MORE

By Alisa Wolking2/3/2016 • 0 Comments

As the Department of Labor (DOL) moves forward with its new fiduciary standard, lawmakers in the U.S. House of Representatives are working on legislation to address concerns that the final DOL proposal will harm access to retirement savings advice. READ MORE

By Judy Miller1/31/2016 • 0 Comments

The Senate Finance Committee held a hearing Jan. 28 on “Helping Americans Prepare for Retirement: Increasing Access, Participation and Coverage in Retirement Savings Plans.” READ MORE

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