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 John Iekel 2/8/2018 • 0 Comments

The SEC Office of Compliance Inspections and Examinations has retirement savers in mind this year in its 2018 examination priorities. READ MORE

By Ted Godbout2/8/2018 • 0 Comments

Witnesses at a Feb. 6 Senate committee hearing debated current challenges and offered proposals to help so-called “gig economy” workers save for retirement. READ MORE

By John Iekel 2/7/2018 • 0 Comments

The recently enacted Tax Cuts and Jobs Act of 2017 (TCJA) will not affect 2018 pension plan limitations, the IRS said on Feb. 6 in IR-2018-19. READ MORE

By Kenneth Marblestone2/2/2018 • 0 Comments

The 2018 Eastern Regional Conference will be held at the Doubletree Center City Hotel in Philadelphia on Thursday, April 26 and Friday, April 27. READ MORE

By Ted Godbout1/31/2018 • 0 Comments

Total monetary recoveries by EBSA's enforcement and oversight activity in FY 2017 were up from the previous year, according to an annual fact sheet released by the agency. READ MORE

By Nevin Adams 1/31/2018 • 0 Comments

The American Retirement Association has taken issue with the new VCP fee structure and approach taken by the IRS, stressing that it is “unfair to small employers, and will have an adverse impact on plan participants.” READ MORE

By John Iekel 1/31/2018 • 0 Comments

The IRS has reviewed and updated the information it provides in frequently asked questions (FAQs) concerning recharacterizations of IRA contributions. READ MORE

By Nevin Adams1/30/2018 • 0 Comments

Whoever said ignorance was bliss surely wasn’t talking about fiduciary litigation. READ MORE

By ASPPA Net Staff1/26/2018 • 0 Comments

ERISA attorney Fred Reish looks at another “mistaken belief” about the fiduciary regulation. READ MORE

By ASPPA Net Staff1/26/2018 • 0 Comments

A recent conversation spotlights errors commonly found in a retirement plan audit and ways to prevent them. READ MORE

By John Iekel 1/22/2018 • 0 Comments

A recent analysis suggests that the SEC’s take on a fiduciary standard may be inching closer to that of the DOL. READ MORE

By Ted Godbout1/22/2018 • 0 Comments

To increase transparency, FINRA for the first time has released its annual budget, showing that the 2018 budget does not include a fee rate increase for its member firms. READ MORE

By Nevin Adams1/19/2018 • 0 Comments

You have to wonder what the Wall Street Journal has against automatic enrollment. READ MORE

By John Iekel 1/18/2018 • 0 Comments

The IRS and PBGC are granting relief to those in the Golden State who have suffered due to the recent wildfires, floods, mudslides and debris flows that began on Dec. 4, 2017. READ MORE

By John Iekel 1/18/2018 • 0 Comments

The New York Department of Financial Services’ proposal for a “best interest” standard for those licensed to sell life insurance and annuity products is of limited scope and notable for what it leaves out. READ MORE

By John Iekel 1/18/2018 • 0 Comments

The IRS has issued a revised version of its comprehensive brochure on the retirement plan checkup material it makes available for plan sponsors. READ MORE

By John Iekel 1/17/2018 • 0 Comments

Implementation of the DOL’s fiduciary rule has been delayed, but the SEC's work on its own rule reportedly is accelerating. READ MORE

By John Iekel 1/12/2018 • 0 Comments

The IRS has released the instructions for Form 9855-SSA, Annual Registration Statement Identifying Separated Participants With Deferred Vested Benefits, for 2017 filing. READ MORE

By John Iekel 1/12/2018 • 0 Comments

Missouri is the latest state whose legislature has before it a measure that would establish a state-run program for employees whose employers do not offer a retirement plan. READ MORE

By John Iekel 1/12/2018 • 0 Comments

OregonSaves, the state-sponsored retirement plan for private-sector workers, is now open to any employer of any size in Oregon. READ MORE

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