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Technical competence

BY Ray Harmon | 11/21/2014
In the wake of the surprise election of Republican Larry Hogan to the Maryland governor’s mansion earlier this month, the task force established by outgoing Gov. Martin O’Malley (D) to... Read More
BY Ronald J. Triche | 11/20/2014
The NAPA Government Affairs Committee submitted a comment letter Nov. 19 to the Department of Labor regarding the use of self-directed brokerage (SDB) windows and accounts in ERISA-covered... Read More
BY NAPA Net Staff | 11/20/2014
The SEC has issued its 2014 Agency Financial Report, in which it outlines the actions it undertook in 2014 and its goals for 2015. Investment News notes that the report is vague about whether the SEC... Read More
BY Nevin E. Adams, JD | 11/20/2014
The Government Accountability Office (GAO) published its final report on Individual Retirement Accounts (IRAs), offering some recommendations for Congress and the IRS on so-called “mega”... Read More
BY Nevin E. Adams, JD | 11/19/2014
Five members of the Senate Finance Committee are asking Treasury Secretary Jack Lew for some retirement plan relief. The letter — signed by Senate Finance Committee Chairman Ron Wyden (D-Ore... Read More
BY Craig Hoffman | 11/18/2014
Just when plan administrators were beginning to feel comfortable with their procedures for participant benefit statements, changes are in the offing. The Department of Labor’s most recent... Read More
BY Fred Barstein | 11/18/2014
A new study by State Street’s Center for Applied Research coins a new term, the “Folklore of Finance,” which tries to explain why most investors don’t achieve their long-term... Read More
BY Judy Miller | 11/17/2014
When the 113th Congress wraps up in December, it won’t have much to show for its term. Will the 114th Congress that convenes in January be any different?  Will Congress use retirement... Read More
BY NAPA Net Staff | 11/13/2014
The Internal Revenue Service is reminding low- and moderate-income workers — as well as the advisors who work with them — about an opportunity to earn a special tax credit while they save... Read More
BY John Iekel | 11/12/2014
Major cities in disparate corners of America provide a fresh — and stark — illustration of how widespread public pension funding shortfalls are. Pittsburgh and Phoenix, cities that could... Read More
BY Nevin E. Adams, JD | 11/10/2014
Having regained their Senate majority and deepened their hold on the House, the GOP — with a wary eye on the 2016 elections — may be ready to act on a range of issues affecting the... Read More
BY Fred Barstein | 11/10/2014
There's a light at the end of the tunnel for Detroit, its citizens and its pensioners — and it’s not the oncoming train many had expected. Bankruptcy Judge Steven Rhodes approved a... Read More
BY Fred Barstein | 11/10/2014
In an effort to gain more revenue and control over a plan, some advisors have taken to creating their own investments and recommending themselves or charging more as a 3(38) fiduciary. But according... Read More
BY Nevin E. Adams, JD | 11/10/2014
The Nov. 7 issue of The New York Times included a story about “Finding, and Battling, Hidden Costs of 401(k) Plans.” The story focused primarily on the plight of Ronald Tussey,... Read More
BY NAPA Net Staff | 11/7/2014
If you (or your clients) are looking for an easy-to-use guide to employee benefit plan reporting, the IRS has just the thing, in the form of a handy guide to reporting and disclosure... Read More
BY Ray Harmon | 11/7/2014
The ERISA Advisory Council has now made its final recommendations of 2014, and got an update on regulatory proposals in return. On Nov. 4, the DOL’s ERISA Advisory Council followed up on its... Read More
BY NAPA Net Staff | 11/5/2014
Now that Republicans have gained control of the U.S. Senate, what are the repercussions for plan advisors? Is tax reform a viable possibility? What will Obama administration officials do with... Read More
BY Nevin E. Adams, JD | 11/4/2014
MassMutual and Golden Star, Inc. have asked the court to approve a settlement in their 401(k) revenue-sharing suit.  The settlement (which, according to the Fiduciary Matters Blog, does not... Read More
BY John Carl | 11/3/2014
The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and... Read More
BY NAPA Net Staff | 10/31/2014
More than two and a half years after the city of Stockton, Calif. declared insolvency, Chief United States Bankruptcy Judge Christopher Klein has confirmed the city’s proposal for exiting... Read More
BY John Ortman | 10/29/2014
Advisors seeking to capture IRA rollovers face a "four-part harmonization" of regulatory and other government entities -- that is, SEC, DOL, FINRA and GAO -- in the words of ERISA attorney Fred Reish... Read More
BY Michael Bushnell | 10/28/2014
It's been a year since DOL's Phyllis Borzi, addressing the 2013 ASPPA Annual Conference, provided details about how the department planned to proceed with its regulatory initiative reshaping... Read More
BY John Iekel | 10/28/2014
Turning 40 is one of those storied moments — and not just for individuals. ERISA turned 40 this year, affording an opportunity to take stock of its impact and whether it is functioning as... Read More
BY John Ortman | 10/28/2014
Despite lacking any regulatory authority to do so, the Department of Labor has made an issue of fiduciary training over the last few years. The reason, according to Bryan Cave's Sheldon H. Smith... Read More
BY John Carl | 10/27/2014
The ERISA consultants at the Columbia Management Retirement Learning Center Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs and... Read More

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