Advisors – participant investors – and these days, even regulators – appear to be of two minds on environmental, social and governance investing – better known as “ESG.”   Read More

Responding to a question from a financial advisor in Massachusetts, the ERISA consultants at the Retirement Learning Center Resource addressed a common inquiry involving annuities within defined contribution plans.   Read More

With retirement issues looming large in the 116th Congress, the American Retirement Association (ARA) has revamped its government affairs leadership team with two key additions.   Read More

The American Retirement Association is recommending that the Securities and Exchange Commission further clarify Regulation Best Interest to avoid any “gap” in regulatory coverage.   Read More

The Department of Labor (DOL) has announced that it is providing guidance and relief for victims of California’s Camp, Hill, Woolsey and other wildfires.   Read More

With only about two weeks left in the legislative calendar, the House of Representatives is expected to approve a revised tax and retirement savings package this week. But can the legislation be enacted in its current form?   Read More

In a report to Secretary of Labor Alexander Acosta, the ERISA Advisory Council has recommended that the DOL issue new guidance on ERISA bonding.   Read More

In response to a federal court request, Golden State officials have elaborated on why CalSavers – the state’s state-run automatic IRA program for private sector workers – isn’t preempted by ERISA.   Read More

The EBSA, IRS and PBGC on Nov. 14 released advance copies of the Form 5500 Series forms and instructions to be used for 2018 reporting.   Read More

Mere days after publishing a request for comments on a proposed exemption, the Department of Labor has now issued an advisory opinion (AO) regarding a specific auto portability program.   Read More

As expected, the Democrats took control of the House of Representatives in the congressional midterm elections, portending a major shift in focus for retirement policy issues.   Read More

The Department of Labor’s proposed rules expanding access to multiple employer retirement plans don’t allow open MEPs sponsored by unrelated employers. Here’s why.    Read More

Halloween is the time of year when one’s thoughts turn to trick-or-treat, ghosts and goblins, and things that go bump in the night. But what are the things that keep – or should keep – plan fiduciaries up at night?   Read More

The Department of Labor announced Oct. 29 that it has published employee benefit plan compliance guidance and relief for victims of recent Hurricanes Florence and Michael.   Read More

Regulatory and legislative changes in the coming months will be spurred by President Trump’s Aug. 31 executive order and several retirement reform bills in Congress, in the view of the American Retirement Association’s Government Affairs staff.   Read More

The federal government’s updated unified regulatory agenda has shed light on the status of the Securities and Exchange Commission’s and Department of Labor’s efforts on investment advice and the now-vacated fiduciary rule.   Read More

ERISA was enacted to provide national protections for participants in employer-sponsored retirement plans – but proposed legislation would undermine those protections.   Read More

The Department of Labor recently announced the creation of a new Office of Compliance Initiatives to promote greater understanding of federal labor laws and regulations, including those involving retirement security.   Read More

Scottrade’s attempt to make a federal case of an administrative proceeding filed by Massachusetts alleging violations of internal policies adopted in anticipation of the Labor Department’s fiduciary rule has been rebuffed by a federal judge.   Read More

The Securities and Exchange Commission’s Aug. 7 deadline for comments on its proposed Regulation Best Interest, Form CRS and standard of conduct has now passed. Let’s take a look at some highlights.   Read More