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 Andrew Remo8/14/2015 • 0 Comments

At times during Day Four of the Department of Labor’s (DOL) public hearing on its fiduciary rule, it felt as if everything that needs to be said has already been; however, some new topics were discussed in the final day of testimony. READ MORE

By ASPPA Net Staff8/14/2015 • 0 Comments

The IRS has issued IRA required minimum distribution (RMD) worksheets for figuring this year’s required withdrawals from traditional IRAs. READ MORE

By ASPPA Net Staff8/13/2015 • 0 Comments

Responding to a bipartisan (though primarily Republican) letter from more than a dozen members of the U.S. House of Representatives, Labor Secretary Thomas Perez says his agency will “move forward towards issuing a Final Rule” on the agency’s “conflict of interest” proposal. READ MORE

By Andrew Remo8/13/2015 • 0 Comments

Marcy Supovitz, President-Elect of the American Retirement Association, testified at the public hearing on the Department of Labor’s reproposed fiduciary rule Aug. 12. READ MORE

By Andrew Remo8/13/2015 • 0 Comments

The second day of public hearings on the Department of Labor’s fiduciary rule reproposal was highlighted by a debate over the economic impact that the rule will have on the financial services industry. READ MORE

By Andrew Remo8/11/2015 • 0 Comments

The first day of the Department of Labor’s public hearing on its re-proposed fiduciary rule Aug. 10 veered from the informative to the absurd as the department’s rule makers heard from a broad array of stakeholders on the complex subject. READ MORE

By Nevin Adams8/10/2015 • 0 Comments

The public comment period may have closed, but a group of U.S. Senators has weighed in on the proposed fiduciary regs — and lent their support to a recommendation of the American Retirement Association. READ MORE

By ASPPA Net Staff7/31/2015 • 0 Comments

Beginning Oct. 1, the IRS Employee Plans Office will no longer answer technical questions by email, nor will it accept forwarded messages from IRS Customer Account Services that had been sent to its personnel by email. READ MORE

By ASPPA Net Staff7/31/2015 • 0 Comments

The IRS on July 31 issued Notice 2015-53, which provides the mortality tables for minimum funding and present value requirements for use in 2016.
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By ASPPA Net Staff7/30/2015 • 0 Comments

An IRA owner must calculate the required minimum distribution separately for each IRA that he or she owns, but can withdraw the total amount from one or more of the IRAs, the IRS reminds. READ MORE

By ASPPA Net Staff7/30/2015 • 0 Comments

The Department of Labor’s Employee Benefit Security Administration has prepared material intended to assist plan administrators in selecting an auditor and reviewing the audit work and report. READ MORE

By Nevin Adams7/28/2015 • 0 Comments

None other than a fellow federal agency has said in its a comment letter on the Labor Department’s fiduciary proposal that the proposal fails to adequately estimate its cost or the number of firms affected by it. READ MORE

By ASPPA Net Staff7/27/2015 • 0 Comments

Concerned that the Labor Department’s fiduciary proposal is about reengineering the retirement services industry and controlling the way Americans save for retirement, a group of Republican congressmen is calling for withdrawal of the rule.

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By ASPPA Net Staff7/27/2015 • 0 Comments

Taking a cue from the boss, Labor Secretary Thomas Perez in the DOL blog has said that the DOL will issue guidance to help facilitate state-based retirement plans. READ MORE

By ASPPA Net Staff7/27/2015 • 0 Comments

The Financial Industry Regulatory Authority (FINRA) says that the Labor Department’s fiduciary proposal represents a “fractured approach” that will sow confusion for many in the retirement industry. READ MORE

By ASPPA Net Staff7/23/2015 • 0 Comments

Sharp increases in the penalties for making mistakes in information reporting will kick in for returns and statements that are required to be filed after Dec. 31, 2015. READ MORE

By ASPPA Net Staff7/23/2015 • 0 Comments

In Announcement 2015-19, the IRS on July 21 outlined changes to the employee plans determination letter program for qualified retirement plans.
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By ASPPA Net Staff7/22/2015 • 0 Comments

July 21 provided a poignant example of the back-and-forth over the proposed fiduciary rule, as Labor Secretary Thomas Perez testified on Capitol Hill about it, while across town SEC member Daniel Gallagher sent the DOL a public comment letter criticizing it. READ MORE

By ASPPA Net Staff7/21/2015 • 0 Comments

The American Retirement Association (ARA) has submitted its comment letter to the Department of Labor (DOL) on the fiduciary rule re-proposal. READ MORE

By ASPPA Net Staff7/20/2015 • 0 Comments

The Department of Labor will be changing its proposed fiduciary rule regarding brokers, DOL Deputy Assistant Secretary Timothy D. Hauser said at a July 16 Washington, D.C. meeting of the Securities and Exchange Commission’s Investor Advisory Committee. READ MORE

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