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Fiduciary Rules and Practices


 

 

 

Fiduciary Rules and Practices

Fiduciary Rules and Practices

By NTSA Net Staff12/12/2017 • 0 Comments

In MarketBeat, John Iekel discusses a blog entry and IRS ideas on how to protect retirement plans and balances from cyber attacks and criminals. READ MORE

By John Iekel12/4/2017 • 0 Comments

Are any of your 403(b)'s assets invested in proprietary funds? If so, says a recent blog entry, you are not alone — and it is possible to blunt potential criticism about that. READ MORE

By NTSA Net Staff11/28/2017 • 0 Comments

Yes, the holidays are upon us — but there’s no time like the present to get a head start on 2018 at the NTSA Summit! READ MORE

By NTSA Net Staff11/28/2017 • 0 Comments

In MarketBeat, John Iekel discusses Christopher Carosa’s treatment of how the DOL fiduciary rule can be reconciled with longstanding laws on handling the transactions it covers. READ MORE

By Ted Godbout11/28/2017 • 0 Comments

An 18-month extension of the transition period for the Prohibited Transaction Exemption (PTE) amendments and applicability dates for the Department of Labor’s fiduciary rule has been finalized. READ MORE

By Ted Godbout11/20/2017 • 0 Comments

If at first you don’t succeed, try, try again seems to be the motto used in a new class action lawsuit filed against New York University alleging breach of fiduciary duties for excessive plan fees in the school’s retirement plans. READ MORE

By Nevin Adams11/17/2017 • 0 Comments

The National Association for Fixed Annuities hasn’t had much success thus far in its litigation challenging the Department of Labor’s (DOL) fiduciary regulation — until now. READ MORE

By Ted Godbout11/17/2017 • 0 Comments

On Capitol Hill on Nov. 16 both the House and Senate took major steps toward completing the much-anticipated tax reform overhaul. READ MORE

By Ted Godbout11/16/2017 • 0 Comments

While all eyes have been on the latest tax reform changes, there were two important hearings taking place on Capitol Hill Nov. 15 concerning the Department of Labor. READ MORE

By NTSA Net Staff10/18/2017 • 0 Comments

The Department of Labor (DOL) continues to fight an attempt by at least one fiduciary rule opponent to pursue its case in court. READ MORE

By Ted Godbout10/11/2017 • 0 Comments

A published report says the Trump administration is prepared to nominate a new Assistant Secretary for the Department of Labor’s Employee Benefits Security Administration (EBSA). READ MORE

By John Iekel10/5/2017 • 0 Comments

SEC Chairman Jay Clayton reiterated on Oct. 4 in testimony before the House Financial Services Committee that he is “focused on the standards of conduct” for investment professionals. READ MORE

By NTSA Net Staff10/3/2017 • 0 Comments

In MarketBeat, Ted Godbout discusses the insights shared at the Financial Services Roundtable on Sept. 27, 2017 — the day President Trump and congressional leaders released a tax reform plan. READ MORE

By Ted Godbout9/28/2017 • 0 Comments

Rep. Ann Wagner (R-MO) introduced legislation on Sept. 27 that would repeal the Department of Labor’s (DOL) fiduciary rule and create a new standard of conduct for brokers and dealers. READ MORE

By John Iekel9/26/2017 • 0 Comments

SEC Chairman Jay Clayton told the Senate Committee on Banking, Housing and Urban Affairs he hopes the SEC can “properly tailor” an approach that will best address issues related to the DOL fiduciary rule. READ MORE

By NTSA Net Staff9/20/2017 • 0 Comments

Legislation that would repeal the DOL’s fiduciary rule would have a negligible effect on federal revenues, say multiple cost estimates. READ MORE

By John Iekel9/19/2017 • 0 Comments

Action by the SEC due to breaches of fiduciary duty, inadequate disclosures and compliance deficiencies has prompted an RIA to issue rebates and credits to some of its clients, which include non-profits that sponsor 403(b) plans. READ MORE

By NTSA Net Staff9/18/2017 • 0 Comments

MarketBeat features a blog post by Fred Reish (with help from some of his colleagues at Drinker Biddle) that addresses what plans are — and are not — covered by the fiduciary rule. READ MORE

By NTSA Net Staff9/14/2017 • 0 Comments

The U.S. House on Sept. 14 passed a bill that contains a sentence that seeks to do away with the fiduciary regulation — with language that some might find eerily prophetic. READ MORE

By NTSA Net Staff9/13/2017 • 0 Comments

The American Retirement Association, parent organization of ASPPA, has weighed in on extending the special transition period under the Best Interest Contract Exemption (and related exemptions). READ MORE

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