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Regulatory Agencies

BY Nevin E. Adams, JD | 7/19/2019
While there’s likely a rocky confirmation road ahead, President Trump has announced (via tweet) his choice as the next Secretary of Labor. “I am pleased to announce that it is my intention to... Read More
BY Ted Godbout | 7/15/2019
  Patrick Pizzella, the current Deputy Secretary of the Department of Labor, will take over as the Acting Labor Secretary in the wake of Alexander Acosta’s July 12 resignation.  ... Read More
BY John Iekel | 7/15/2019
The IRS and the Department of Labor should establish a formal way of collaborating on oversight of prohibited IRA transaction exemptions, the Government Accountability Office (GAO) has recommended... Read More
BY NAPA Net Staff | 7/12/2019
Secretary of Labor Alex Acosta has resigned in the wake of controversy regarding a plea deal he negotiated more than a decade ago with wealthy financier Jeffrey Epstein. Acosta made the... Read More
BY Ted Godbout | 7/2/2019
More than 20 years after the last such overhaul, on July 1 President Trump signed into law bipartisan legislation to revamp the Internal Revenue Service. Among other things, the newly enacted... Read More
BY Ted Godbout | 6/21/2019
Allison H. Lee of Colorado has been confirmed by the U.S. Senate to fill the open Democratic slot for commissioner of the Securities and Exchange Commission. Lee will serve out the remainder of a... Read More
BY Ted Godbout | 6/6/2019
As the SEC was voting on its final investment advice rulemaking package, a Capitol Hill hearing was taking place to consider President Trump’s nominee to fill the open Democratic commissioner's seat... Read More
BY John Iekel | 6/5/2019
The Department of Labor (DOL) is preparing to act on a variety of issues relevant to retirement plans and participants, according to a department official who offered an outline at a June 5 session... Read More
BY John Iekel | 6/4/2019
The Securities and Exchange Commission has announced two enforcement and education initiatives intended to help protect teachers, active members of the military and veterans and their assets,... Read More
BY Ted Godbout | 6/4/2019
While speculation has run rampant over the past several months, we may finally get some answers today about what the Securities and Exchange Commission’s final investment advice rulemaking will... Read More
BY Nevin E. Adams, JD | 6/3/2019
Lifetime income options have been a hard sell for defined contribution plans – but the SECURE Act and the Senate’s RESA legislation both take steps to improve the odds. This week, we’d like to know:... Read More
BY NAPA Net Staff | 5/24/2019
First the Labor Department announced a target for a fiduciary rule redo – and now the Securities and Exchange Commission has announced a review of its Regulation Best Interest. The SEC has... Read More
BY Ted Godbout | 5/23/2019
The federal government’s updated Spring 2019 unified regulatory agenda sheds some light on prospects for the Department of Labor’s next steps on a fiduciary rule revamp.  The DOL’s updated... Read More
BY John Iekel | 5/20/2019
The 2019 Advisory Council on Employee Welfare and Pension Benefit Plans, a body that provides support and advice to the Department of Labor’s (DOL) Employee Benefits Security Administration (EBSA),... Read More
BY NAPA Net Staff | 5/17/2019
NAPA Founding President Marcy L. Supovitz has been named to the ERISA Advisory Council, which advises the Labor Department on policies and regulations regarding ERISA plans. The 15-member council... Read More
BY Ted Godbout | 5/8/2019
The Labor Department and Securities and Exchange Commission aren’t the only ones contemplating a new fiduciary standard. Now the Office of the Comptroller of the Currency (OCC) is considering... Read More
BY Nevin E. Adams, JD | 5/6/2019
Last week Secretary of Labor Alexander Acosta appeared to confirm that the Department of Labor will issue a new fiduciary rule. This week, we’d like to know what you think about that prospect – and... Read More
BY Nevin E. Adams, JD | 4/29/2019
The Labor Department isn’t letting its Association Health Plan rule go down without a fight. On Friday, the Labor Department filed notice that it intends to appeal a March ruling by U.S. District... Read More
BY Ted Godbout | 4/18/2019
Robert J. Jackson, Jr. is planning to leave his post as a Securities and Exchange Commissioner later this year to return to academia, according to a report in the Wall Street Journal.... Read More
BY Nevin E. Adams, JD | 4/12/2019
Issuing an executive order designed to “promote private investment in the Nation’s energy infrastructure,” the Trump administration has called for a review involving retirement plan investments.... Read More
BY Ted Godbout | 4/5/2019
The American Retirement Association is asking the ERISA Advisory Council to examine issues concerning the extent to which an ERISA-covered retirement plan may use plan assets to pay the costs... Read More
BY Ted Godbout | 4/3/2019
President Trump has announced that he intends to nominate Allison H. Lee to serve on the Securities and Exchange Commission.  If she is confirmed by the Senate, Lee would serve for a five-... Read More
BY Ted Godbout | 3/11/2019
President Trump’s fiscal year 2020 budget addresses the Administration’s high-priority items, such as increased spending for national security, but it doesn’t include much about retirement.... Read More
BY Ted Godbout | 3/6/2019
While the number of cases reported by FINRA was down last year, the level of fines appears to be increasing, according to a new report.  Eversheds Sutherland’s annual analysis of FINRA... Read More
BY Ted Godbout | 3/1/2019
Several former SEC economists have given the Economic Analysis (EA) underlying the Commission’s April 2018 investment advice proposals an “incomplete.” In a Feb. 6 letter, 11 former chief... Read More

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