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Regulatory Agencies

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
BY John Iekel | 2/27/2019
The IRS has updated the information on its website concerning automatic enrollment.  The site provides basic information regarding an employer’s obligations if it decides to offer automatic... Read More
BY Ted Godbout | 1/29/2019
After having limited staff due to the government shutdown, the Securities... Read More
BY Ted Godbout | 1/4/2019
The federal government shutdown, now entering its 14th day with no end in sight, is beginning to affect investment and retirement plan advisors who interact with the SEC and IRS. Some may assume... Read More
BY John Iekel | 12/17/2018
The American Retirement Association has suggested steps the DOL’s Employee Benefits Security Administration can take to improve retirement security.The Dec. 12 letter to Joe Canary, Director of EBSA'... Read More
BY Ted Godbout | 12/13/2018
Appearing on Capitol Hill on Dec. 11, the U.S. Securities and Exchange Commission Chairman hinted that the agency’s final rule on investment advice for retail customers may harmonize the wording for... Read More
BY John Iekel | 11/27/2018
The ERISA Advisory Council has recommended that the Department of Labor (DOL) issue new guidance on ERISA bonding. The recommendation comes in a report to Secretary of Labor Alexander Acosta that... Read More
BY NAPA Net Staff | 11/9/2018
The Securities and Exchange Commission has road tested its proposed Relationship Summary with investors — with some interesting (and not wholly surprising) results.A key component of the SEC’s... Read More
BY Ted Godbout | 11/8/2018
The Labor Department wants to know what you think about auto-portability.In a Nov. 7 request for comments, the Labor Department noted that employees leaving their current place of employment with... Read More
BY John Iekel | 10/25/2018
Is the glass half full or half empty? When it comes to retirement policy, in Washington it’s a little of both, according to government representatives who spoke at an Oct. 23 general session at ASPPA... Read More
BY John Iekel | 10/23/2018
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... Read More
BY Ted Godbout | 10/22/2018
The Department of Labor has released proposed rules that would expand access to multiple employer retirement plans for small employers and self-employed workers, while also maintaining fiduciary... Read More
BY Ted Godbout | 10/19/2018
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-... Read More
BY Nevin E. Adams, JD | 10/18/2018
The Office of Management and Budget has completed its review of the Labor Department’s proposal for expanding access to multiple employer retirement plans.It was less than a month ago that the Labor... Read More
BY Ted Godbout | 10/17/2018
In what is likely to be one of her last appearances as a Securities and Exchange Commission official, Commissioner Kara Stein argued that the agency must ensure that investment professionals are... Read More
BY Ted Godbout | 10/12/2018
The Securities and Exchange Commission has announced a new four-year strategic plan with a distinctive focus on Main Street – and an acknowledgement that the line between investment advice and... Read More
BY Ted Godbout | 10/5/2018
A program letter from the heads of the IRS’s Tax Exempt & Government Entities (TE/GE) division provides an update on the compliance, data, process and casework strategies the division plans to... Read More
BY NAPA Net Staff | 9/25/2018
Wasting no time, the Labor Department has delivered its proposed rule to expand access to multiple employer retirement plans to the Office of Management and Budget for review.It was less than a month... Read More
BY Ted Godbout | 9/21/2018
UPDATED SEPT. 21 AT 1:00 ET: Shortly after this post was published, the Senate Finance Committee scheduled a Sept. 27 hearing to consider the nomination of Gordon Hartogensis to be director of the... Read More
BY John Iekel | 9/17/2018
The IRS has granted a variety of forms of relief for victims of Hurricane Florence. The relief is for individuals as well as businesses, and includes requirements related to compensation.As of Sept.... Read More
BY NAPA Net Staff | 9/14/2018
A new report concludes that the Security and Exchange Commission’s proposed Customer Relationship Summary (CRS) needs more work.The news wasn’t all bad for the SEC. The sponsors of the report – the... Read More
BY Ted Godbout | 9/13/2018
The Department of Labor (DOL) recently announced the creation of a new Office of Compliance Initiatives (OCI) to promote greater understanding of federal labor laws and regulations, including those... Read More
BY Ted Godbout | 9/5/2018
Former Senate Banking Committee aide Elad Roisman has been confirmed by the Senate to serve a five-year term as a Republican member of the Securities and Exchange Commission, bringing the SEC back to... Read More

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