Browsing Tag
Regulation
216 posts
401(k) ‘Father’ Ted Benna Takes on State-Sponsored Retirement Plans
[Correction: The article initially stated that OregonSaves and CalSavers only offer a Roth IRA. In fact, they offer…
Nevin Adams: ‘Bigger, Better than Ever’ 2020 NAPA 401(k) Summit
There’s A LOT planned for the 2020 NAPA 401(k) Summit in Orlando. Industry personality Nevin Adams, American Retirement…
Top SEC Compliance Issues with Target-Date Funds
The SEC recently took a closer look at certain target-date funds, and while it liked what they saw…
Senators Urge SECURE Act Passage
Pass it now, Mitch. A number of senators are getting antsy about the fate of the SECURE Act,…
Massive Embezzler Offers 401k As Partial Penance
It’s a tactic seen from a number of fraudsters recently; offering up their 401k as restitution when caught.…
‘Trump Impeachment Trial by Late Winter, Early Spring:’ GRPAA Conference
“I’m either middle of the road or a shameless opportunist,” Greg Valliere said to laughter when noting his…
Baggage Handler Fined For Illegally Advising on $172 Million of AUM
The SEC has fined and suspended a baggage handler at a major airline who provided unauthorized investment services…
Advisor Charged With Stealing Funds For Travel, Luxury Hotels
An advisor with “penchant for international travel” racked up massive amounts of credit card debt, and allegedly used…
MIA: Clear Guidance About Missing 401k Participants
With the Department of Labor by all accounts stepping up a national audit campaign targeting 401k plans with…
Theft Suspect Offers 401k as Partial Restitution
In a novel attempt at payroll theft penance, a woman arrested on suspicion of embezzling from a company…