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

Well, here we go again. After years and years spent on the fiduciary rule, we’re back to the start. It truly is “Groundhog Day.”   Read More

The American Retirement Association has weighed in on the SEC’s proposed Regulation Best Interest standard.   Read More

Bipartisan legislation has been introduced in the U.S. Senate that would expand the ability of certain retirement plan sponsors to correct inadvertent compliance errors under the IRS’s Employee Plan Compliance Resolution System.   Read More

Eleven states and the District of Columbia have filed suit challenging the Department of Labor’s recently finalized association health plan (AHP) rule.   Read More

Nearly 250 delegates descended on Capitol Hill July 24 to attend NAPA’s sixth annual DC Fly-In Forum, where they heard directly from key lawmakers, regulators and industry experts, and participated in meetings with House and Senate staffers.   Read More

The deadline for submitting comments on the Securities and Exchange Commission’s proposed Regulation Best Interest is two weeks away. What kinds of comments has the agency received so far?   Read More

New York State’s Department of Financial Services has finalized regulations implementing a “best interest” standard for those licensed to sell life insurance and annuity products.   Read More

A recent report suggests that participants are “clueless” about decumulation. And who can blame them?   Read More

Millennium Trust Company has entered into an agreement to acquire The Bancorp Bank’s automatic rollover business for $65 million.   Read More

In addition to being an administrative headache, the inability to locate terminated participants of qualified retirement plans can result in heightened legal risks, a recent blog post reminds readers.   Read More

The Plan Sponsor Council of America has submitted written recommendations for guidance on missing participants to several agencies, including DOL, Treasury and the IRS.   Read More

New policies are needed to address retirement savings access and portability issues that Millennials and other generations face as part of the growing gig economy, according to panelists at a Capitol Hill forum.   Read More

After weeks of anticipation, the 5th Circuit Court of Appeals finally issued its mandate vacating the Labor Department’s fiduciary rule June 21.   Read More

The American Retirement Association has submitted a comment letter to the IRS concerning the IRS’ 2018-2019 Priority Guidance Plan.   Read More

While June 13 was widely cited as the last day the Department of Labor could appeal to the U.S. Supreme Court the 5th Circuit’s ruling vacating the fiduciary rule, that day has now come – and gone.   Read More