Browsing Tag
401(k) Regulation
118 posts
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…
Fiduciary Rule Killing Annuity Sales
Despite continual delays for full implementation, the fiduciary rule is having an impact, particularly in the area of…
Experts to Tackle Reg Ridiculousness in 401k Space: New England Wealth & Retirement Conference
Does anybody want to sound off on what’s happening in Washington? The fiduciary rule, litigation, contribution limit cuts?…
Feds Raid Dallas-Based ‘Professional Fiduciary’
The FBI raided Vantage Benefits Administrators, a Dallas-based “TPA, recordkeeper and professional fiduciary.” The Dallas Morning News reports…