Browsing Tag
PTE 2020-02
21 posts
Fred Reish Fears Advisor PTE Preparedness: Broadridge Fi360 Conference
The DOL 'could go so far as to say every one of your rollover recommendations was a prohibited transaction'
Awesome in Austin: Broadridge Fi360 Annual Conference Starts Sunday
Conference regulars Reish and Roberts will cover several regulatory items, including PTE 2020-02
5 Tips to Supercharge Your Annual Review Process
RIA in a Box’s Chris DiTata, Esq., shares helpful tips to remember when designing and implementing annual reviews
3 Major Spring Retirement Industry Events: The Highlights
Some of the biggest live events in the retirement industry are set for April and May. Here’s a look at what’s on tap
Group Says Fiduciary Rule Reinstatement Would Be Dire for Black, Hispanic Americans
Study from Hispanic Leadership Fund says impact of reinstatement would significantly increase the wealth gap by limiting access to financial advice
Number of 401k Plans Surpassed 600,000 in 2019: Latest EBSA Figures
New comprehensive analysis of 2019 Form 5500 submissions shows total number of 401k plans—and participants—jumped 2.7% between 2018 and 2019
EBSA Hits ‘Pause’ Button on Dec. 20 Enforcement of PTE 2020-02
In response to industry concerns, new Field Assistance Bulletin 2021-02 pushes Dec. 20 deadline for compliance to Jan. 31, 2022
10 Trade Groups Ask to Extend Fiduciary Non-Enforcement Policy
The policy is set to expire on December 20
Help for Advisors in Advance of New IRA Rollover Requirements
With a December compliance deadline looming, Broadridge Fi360 today announced the availability of an enhanced Decision Optimizer software…
How (and Why) Betterment Built a Climate-Focused Portfolio
On Feb. 1, 2021, Boris Khentov, senior vice president of operations at New York City-based robo-advisor Betterment, wrote…