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 Staff3/20/2015 • 0 Comments

The IRS on March 19 in IR-2015-55 issued a reminder that April 1 is the deadline for RMDs from traditional IRAs and 401(k), 403(b) and 457 plans to taxpayers who reached age 70½ in 2014. READ MORE

By Andrew Remo3/19/2015 • 0 Comments

Secretary of Labor Thomas Perez used his first appearances before the 114th Congress to deliver a full-throated defense of the DOL’s controversial effort to expand the fiduciary standard of care to financial service providers under the jurisdiction of the department.

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By Ray Harmon, John Iekel3/19/2015 • 0 Comments

Securities and Exchange Commission Chair Mary Jo White confirmed March 17 that the commission will “implement a uniform fiduciary duty for broker-dealers and investment advisors where the standard is to act in the best interest of the investor.”
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By Nevin Adams3/18/2015 • 0 Comments

Your plan sponsor clients just got a little more breathing room on annual 401(k) plan investment notices, courtesy of the DOL.
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By John Iekel3/17/2015 • 0 Comments

The Treasury Department and IRS have invited recommendations on what the priority guidance plan for 2015-2016 should contain.
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By ASPPA Net Staff3/17/2015 • 0 Comments

The IRS on March 16 in IR-2015-50 issued a reminder that there still is time to contribute to an IRA for 2014 and, in many cases, qualify for a tax credit or deduction.

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By Alisa Wolking3/16/2015 • 0 Comments

As the White House promotes the Department of Labor’s reproposal of the fiduciary rule, Sen. Elizabeth Warren (D-Mass.) took the opportunity March 12 to criticize “brokers on Wall Street” and reinforce the administration’s messaging on the controversial proposed regulation.

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By John Iekel3/12/2015 • 0 Comments

The IRS announced on March 11 that for the first time in two years it has updated the information package containing sample plan provisions concerning pre-approved 403(b) plans. READ MORE

By John Iekel3/10/2015 • 0 Comments

The Pension Benefit Guaranty Corporation announced on March 9 that the Office of Management and Budget has approved the 2015 PBGC premium filing instructions READ MORE

By ASPPA Net Staff3/9/2015 • 0 Comments

The IRS has updated materials it provides to assist employers, plan administrators and TPAs in remaining in compliance with federal law and regulation concerning simplified employee pension plans.
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By ASPPA Net Staff3/6/2015 • 0 Comments

The Labor Department has repeatedly claimed to be consulting with the Securities and Exchange Commission on its fiduciary reproposal — but a couple of key House Republicans would like to see some proof.
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By ASPPA Net Staff3/5/2015 • 0 Comments

The IRS on March 4 announced that it has revised publications concerning aspects of IRA administration and taxation of IRAs. READ MORE

By Craig Hoffman3/4/2015 • 0 Comments

ASPPA’s Government Affairs Committee (GAC) filed a comment letter with the IRS on March 3, 2015, requesting an extension of the June 30 deadline for submitting the master language for pre-approved defined benefit plans. READ MORE

By ASPPA Net Staff3/4/2015 • 0 Comments

Legislative phoenixes that would codify the president’s MyRA proposal and change the qualified plan loan rules have arisen in both chambers of Congress.
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By Craig Hoffman3/3/2015 • 0 Comments

The IRS has transferred responsibility for certain technical work from its Employee Plans Division to the IRS Chief Counsel’s office; IRS Announcement 2014-34 and IRS Revenue Procedure 2015-6 formalize this change.
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By Nevin Adams2/26/2015 • 0 Comments

The Government Accountability Office recommends that DOL require plan sponsors to notify the agency when they implement lump sum windows, and coordinate with Treasury to clarify guidance on the information sponsors provide participants.

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By ASPPA Net Staff2/26/2015 • 0 Comments

The recent White House budget proposal sets aside $6.5 million in funding for the Department of Labor, along with waiver authority, to support state efforts to implement state-based 401(k)-type programs or automatic enrollment IRAs.

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By Nevin Adams2/25/2015 • 0 Comments

A 401(k) revenue-sharing lawsuit finally got its day before the U.S. Supreme Court.
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By John Iekel2/25/2015 • 0 Comments

ASPPA CEO and Executive Director Brian Graff has warned that the fiduciary rule reproposal could have serious and negative consequences.
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By Craig Hoffman2/25/2015 • 0 Comments

ASPPA’s Government Affairs Committee recently filed comments with the IRS regarding proposed changes to IRS Form 5500. READ MORE

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