Browsing Tag
Regulation
215 posts
Regulation refers to the laws and rules established by government agencies to ensure the fair and secure operation of retirement savings programs like 401(k)s. These regulations, primarily under ERISA, the IRS, and the Department of Labor (DOL), set standards for plan management, fiduciary responsibility, contribution limits, disclosure requirements, and participant protections. The goal is to safeguard employee benefits, promote transparency, and hold plan sponsors accountable for managing retirement assets responsibly and in the best interests of participants.
Probate, Shmobate: Importance of Keeping 401k Beneficiary Info Up-to-Date
As a retirement plan specialist who meets with employers on a routine basis, we discuss fiduciary responsibility, investment…
5 Good Reasons to Fire a 401(k) TPA
Saying goodbye is never easy, but there are certain times when you simply need to do it. When…
401k Hardship Withdrawals May Be Less of a Hardship
Hardship withdrawals from 401(k) plans and 403(b) plans may be more accessible to some plan participants due to…
Cuomo Forced Into Court in 401(k) Financial Farce
NRA First Amendment lawsuit advances in New York, raising concerns over free speech, financial services, and regulatory influence.
‘Professional Fiduciary’ Indicted for 401(k) Fraud, Embezzlement
Alleged husband and wife grifters Jeff and Wendy Richie were indicted Wednesday for fraud and embezzlement related to…
Department of Labor Acts on Trump MEP Executive Order
It’s been a busy week at the Department of Labor—especially with issues related to the retirement savings of…
DOL to Introduce New Fiduciary Rule
DOL fiduciary rule faces revival in 2019 as the Department considers new regulations after court vacated the prior definition.
NYT Targets Trump Taxes, Hits 401(k)s Instead
Trump tax strategies face scrutiny, yet remain legal and common among the wealthy, sparking debate over media bias and fairness.
Republicans Bank Election on Tax Reform Reboot
Touting a strong economy they say is a result of Tax Cuts and Jobs Act, the GOP revealed bills they called a sequel to legislation passed in December.
Mass Regulator Galvin Slams Broker-Dealer and Its REITs
No-nonsense Massachusetts Secretary of the Commonwealth William Galvin said Friday that his office has entered into an order…