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
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Regulatory Agencies
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 | 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
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
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