Browsing Tag
Regulation
216 posts
Danger! What to Avoid as a 401k Provider
It takes a lifetime to build a sterling reputation, one that can be destroyed in an instant. The…
How We Simply ‘Fell Into’ 401ks
Kent Conrad doesn’t think much of the current retirement system, and believes “we’ve sort of fallen into” 401ks…
How to Address the (Major) Risks of Proprietary Funds in 401ks
A study by the Center for Retirement Research at Boston College in May 2018[1] found that over 40…
IRS Expands Retirement Plan Determination Letter Program
When setting up a benefit plan such as an individually designed 401k retirement plan, many businesses prefer to…
Massachusetts Regulator Proposes Fiduciary Rule
Frequent SEC Reg BI critic William Galvin, Secretary of the Commonwealth of Massachusetts, announced Friday that his Securities…
Concerned About Reg BI? Here’s Marcia Wagner’s Breakdown for Broker-Dealers
The SEC, by a 3-1 party-line vote, issued in a timely fashion its final regulations with respect to…
Ponzi Pledges: Regulators Allege Fraternity-Run Fraud
A 56% return? Well, cash in the CDs and saving accounts, max out the credit cards and sign…
Can Employees Release ERISA Fiduciary Breach Claims?
Plan fiduciaries looking to avoid protracted court cases filed by their plan participants are trying to develop the…
3 Potential 401(k) Plan Problems (and How They’re Fixed)
401(k) plans are like complicated machinery with a lot of moving parts and a lot of ways that…
Say No to Sanders’ Wall Street Nonsense
Death by a thousand cuts—a little here, a little there, who’s gonna know? It’s the thinking behind the…