Robert J. Rafter

SEC Seeks Information on the Impact of a New Fiduciary Rule

By Robert J. Rafter | 3/12/2013

The SEC has published a long-awaited 72-page request for information on the costs and benefits of a uniform fiduciary standard for securities brokers and investment advisers providing investment advice to retail clients. The information is the preliminary step to proposing a new fiduciary rule for... READ MORE

DOL’s Billion-Dollar ROI

By Robert J. Rafter | 1/9/2013

In a post on the DOL’s blog, EBSA’s Phyllis Borzi boasts that the agency “protected or recovered” more than $1.2 billion in FY 2012 “for workers who participate in private-sector employee benefit plans and their beneficiaries.” Most of this total was reported for participants in 401(k) or similar... READ MORE

DOL to Re-propose Fiduciary Rule ‘in Several Months’

By Robert J. Rafter | 12/10/2012

The Department of Labor will re-propose its controversial rule to amend the definition of fiduciary under ERISA within several months, Phyllis Borzi told Advisor One on Dec. 7. Borzi indicated that DOL “is not finished” with the rule, and went on to say that agency officials are addressing many of... READ MORE

Caveat Emptor — Fiduciaries Beware New Fee Disclosure Rules

By Robert J. Rafter | 10/16/2012

By Robert J. Rafter and Dorann J. Cafaro[Editor’s Note: In light of a recent Wall Street Journal article about service provider fee disclosure, we thought it would be helpful to post the following article by Robert Rafter and Dorann Cafaro. This article lays a foundation for advisors and plan... READ MORE

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Robert J. Rafter

NAPA's 401(k) Rollover Specialist (k)RS Credential

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