Regulatory Agencies

Regulatory Agencies

This station houses posts and commentary about non-regulatory issues associated with the federal regulatory agencies with jurisdiction over 401(k) plans, i.e., IRS, DOL and SEC. This includes policy positions, speeches by agency officials, and the agencies’ budgets, agendas, etc.

SEC Rolls Out Best Interest, Fiduciary Proposal

While the Securities and Exchange Commissioners were hardly unanimous in their assessment, they voted 4-1 to release for public comment a set of proposals to “enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers while preserving access to a variety of types of advice relationships and investment products.”   Read More