Tag: Legislation

A Texas district court judge has rejected industry arguments that the DOL exceeded its authority in crafting the forthcoming fiduciary rule—what this spells for the regulation’s future under...

Their concerns are that small businesses will be discouraged from offering retirement plans to employees, and that employees put into state-run plans will not have the protections of...

The idea of taking PBGC premiums “off budget” is nothing new, but the project is supported by a laundry list of retirement plan providers and their trade group...

Experts in several discussions this week suggested organic market factors could take the place of DOL rulemaking that under the Obama Administration sought to raise the conflict of...

Conflicting media reports have started to circulate, some to the effect that a delay of the DOL fiduciary rule has already been effectuated—others that are more skeptical this...

The Form 5500 is a foundational document for all qualified retirement plan clients; advisers can expect the document to be shared among regulators for potential review. 

Advisers are “keenly aware of their clients’ moods and recognize that there are no ‘one size fits all’ retirement plans in the face of an unpredictable future,” research...

A Transamerica survey found that 34% of Americans believe extending the Saver’s Credit to all filers regardless of income should be a priority for incoming President Donald J....

Many of the questions advisers and providers have asked about the Department of Labor fiduciary rule relate to the line drawn between fiduciary and non-fiduciary client communications.

The bill would ensure benefits keep up with changes in the economy by using a more accurate measure of inflation for the annual cost-of-living-adjustment, among other things.

State investment market regulators in Massachusetts have expressed serious concern around the continued employment of broker/dealer agents with histories of misconduct. 

Donald Trump has nominated an outspoken critic of federal government regulation as DOL secretary, placing more uncertainty on the future of the fiduciary rule, according to some observers. 

Retirement reforms being implemented in the UK through 2018 represent an important testing ground for government-backed savings efforts. 

A new survey finds that as implementation of the DOL’s fiduciary rule approaches, more than half of advisers expect to increase investment in client service and compliance technology.

Little has changed over the decades in the way participants move between plans or complete rollovers into an IRA.

A bipartisan piece of legislation with backing in the House and Senate seeks to protect long-term participants in closed and frozen pensions.  

While it is hard to predict what is coming, there is no shortage of retirement policy proposals for the next administration to consider.

 

The enforcement actions accuse two brokerage firms of “deceptive, dishonest, and unethical conduct.”