Browsing Tag
Regulation
216 posts
Portman’s Push for a SECURE Retirement
Ohio Senator Rob Portman had more reason to celebrate than just about anyone when the SECURE Act, the…
Fiduciary Facelift: ERISA Has Evolved—Have You?
Over 46 years ago, the Employee Retirement Income Security Act (ERISA) was passed overwhelmingly in the House of…
Coronavirus Leads FINRA to Push Business Continuity Plan Prep
Coronavirus seems to be impacting everything, which is why broker-dealer industry self-regulator FINRA is encouraging member firms to…
Brotherston v. Putnam’s Far Reaching 401k Fallout
In the case of Brotherston v. Putnam Investments, LLC, No. 17-1711 (1st Cir. 2018), the First Circuit Court…
SEC Looks to Loosen Advisor Advertising, Solicitation Rules
In early November 2019, the Securities and Exchange Commission (SEC) released proposed amendments to the advertising rule and…
State Fiduciary Standard Finalized in Massachusetts
In the absence of a fiduciary standard at the federal level, the Commonwealth of Massachusetts took a step…
How Plan Sponsors Avoid SECURE Act Noncompliance ‘Traps’
The recently passed SECURE Act offers provisions that benefit employers sponsoring 401k plans and their employees, all with…
8 Key Provisions to Know in the SECURE Act
The Setting Every Community Up for Retirement Enhancement (SECURE) Act is the first major piece of retirement legislation…
Schlichter Sues Shell, Fidelity in 401k Fiduciary Breach
Jerry Schlichter has Shell Oil in his sights. The tort lawyer made famous for bringing suits against plan…
IRS Provides Relief for SECURE Act RMD Changes
There’s a bit of confusion over the age extension for required minimum distributions (RMD) contained in the recently…