Browsing Tag
Regulation
216 posts
Reg BI Challenge Rejected by Federal Appeals Court
A high-profile challenge to the SEC’s Regulation Best Interest was denied by the Second Circuit Court of Appeals…
CFP Board to Strengthen Ethics, Conduct Enforcement
The Certified Financial Planner Board of Standards said it will implement additional measures to strengthen the enforcement of…
DC Plan Response to CARES Act Varied by Industry, Recordkeeper
“The response of defined contribution plan sponsors to the CARES Act was primarily influenced by the industry they…
Latest State to Pass Employer-Sponsored Retirement Plan
The Land of Enchantment, New Mexico, is the latest state to pass legislation to make it easier for…
What’s the Difference Between a File Clerk and a Fiduciary?
What’s the difference between a file clerk and a fiduciary? Come June 30th, not much. A clerk is…
Senators Introduce New Bill to Allow PPP Loan Tax Deductions
The IRS is stirring anger. The beloved revenue-gathering arm of the United States government issued guidance last week…
Where Does the United States Rank with Mutual Fund Taxes, Regulation?
A new study ranks the United States as “below average” in mutual fund tax incentives and regulation when…
How to Quarantine Your Practice Against the ‘Fiduciary Flu’
During this Covid-19 crisis, what skills did you draw upon so that you could properly serve your clients?…
DOL 401k Regulator Preston Rutledge to Step Down
Preston Rutledge, Assistant Secretary of Labor for the Employee Benefits Security Administration (EBSA) is stepping down from his…
Houses Passes Coronavirus Stimulus Bill With RMD, 401k Provisions
The House passed a massive and historic $2 trillion coronavirus stimulus package on Friday after last-minute wrangling and…