Trends
New Fiduciary Rule Ahead
The main theme of the DOL’s new rule proposal is in alignment with other regulators—the SEC and FINRA in particular—but the agency is not surrendering its jurisdiction over tax-qualified retirement plans.
Reported by John Manganaro
To access this premium content, please sign up for a free account!
You Might Also Like:
SEC Chair Gensler Announces January 20 Departure
Biden appointee Gensler will step down after a ‘robust rulemaking agenda’ as Republican leadership takes over the White House.
Correcting 401(k) Auto-Enrollment Failures
ERISA experts Fred Reish and Joan Neri answer a question about addressing a plan sponsor client’s error in implementing automatic...
ICI Calls On SEC to Reassess Regulatory Agenda Amid Presidential Transition
The investment industry association’s letter highlighted key issues impacting investment advisers and investors.