Browsing Tag
401(k) Regulation
121 posts
SEC Finally Proposes Fiduciary Rule Revamp
The Securities and Exchange Commission voted to propose its own widely-watched and long-awaited version of a fiduciary standard “to…
Major MEP 401k Bill Reintroduced in Senate
Call it the return of RESA. On Thursday, outgoing Senate Finance Committee Chairman Orrin Hatch, R-Utah, and Ranking…
A Simple Solution to Protect 401k Plan Participant Assets
Vantage Benefits Administrators, a Dallas-based “TPA, recordkeeper and professional fiduciary” and subject of an FBI raid in October amid fraud…
What Happened With FINRA Fines in 2017?
Did 2016’s heavy-handed FINRA fines (a record amount totaling $176 million) scare the industry straight? Perhaps—at least to…
DOL Settles with ‘Fiduciary Firm’ Over $16 Million 401k Fraud
It would seem companies with “fiduciary” in their name or professional description have trouble understanding the word. On…
Share Class ‘Amnesty’ for 401k Advisors: Marcia Wagner
Will it be A shares, B shares …C, D, E, F or G shares? If you’re confused over…
Why Thank Trump for 401k-Match Mania
Former Trump labor secretary nominee Andy Puzder resurfaced in the pages of The Wall Street Journal on Monday…
Why SEC Fiduciary Rule Reg Sounds Right
The rollback of unnecessary regulation is reaping rewards, depending of course on one’s definition of unnecessary. We’re not…
Did Retirement Policy Politician (Really) Misread This Editorial?
Depending on whom you believe, Sen. Orrin Hatch, R-Utah, was either very confused or playfully quick-witted. Hatch, the…
Why It’s So Easy to Steal 401k Plan Assets
It’s easier than you think for a third-party administrator or plan fiduciary to steal plans assets. The allegation…