The Final DOL Fiduciary Regulation: What’s New and What Does It Mean for 403(b) Advisors

Speakers: Chris DeGrassi, CPFA, Executive Director, NTSA; and Sue Diehl, QPA, CPC, President, PenServ Plan Services

Description:

The long-awaited and controversial final DOL regulation re-defining an investment advice fiduciary is out! This regulation significantly impacts how advisors work with plan sponsors, plan participants, and IRA owners. Past NTSA President Sue Diehl of PenServ Plan Services, and NTSA Executive Director Chris DeGrassi, will outline what’s in the new rule and what it means for advisors and their clients.

Key Takeaways:
1. Explain what constitutes “investment advice” under the final regulation     
2. Analyze the changes that were made from the original proposal
3. Discuss how IRAs and rollovers are affected
4. Describe the revised best interest contract exemption

Registration Deadlines:
On-Demand: 4/13/2017

CE Credit: 1 ARA, 1 ERPA, 1 JBEA Noncore

About the Speakers:
Chris DeGrassi, CPFA joined the American Retirement Association in 2012 to lead organizational development and government affairs and for the National Tax-deferred Savings Association. Since joining the ARA in 2012, Chris has successfully affected policy and legislation in 28 states by working with governors, legislatures and administrators. Chris is also the advocate for NTSA members with Congress, FINRA, SEC and the Department of Labor at the federal level. Chris is now leading the American Retirement Association strategic initiative for IRA advisers.

Susan D. Diehl, QPA, CPC, for over 25 years has been president of PenServ, which offers retirement plan services, including technical manuals, monthly news publications, hotline services, plan administration, plan documents, administrative forms, continuing professional education seminars, and in-house training and review of plan documents and administrative procedures. She previously spent eight years as vice president and director of technical services for a national consulting firm, and before that, six years as assistant vice president and administrator of retirement services for a large bank. Susan served a three-year term on the IRS’ Advisory Committee on Tax Exempt and Government Entities (ACT), and served on the Employee Plans subcommittee. Through the ACT Committee, she assisted in the formation of the IRS 403(b) Liaison Group, which meets periodically with the IRS to assist employers and financial institutions regarding issues specifically dealing with 403(b) plans.

IRS Program Number: CZTXU-Q-00638-16-O

To register for the on-demand recording: If you would like to view the on-demand webcast recording, starting Wednesday, April 20, 2016 and ending April 13, 2017, you will be able to access it through your NAPA My Learning Activities account. Registration for on-demand recorded webcast includes unlimited viewing of the webcast recording to play any time before the one-year expiration date, the webcast outline, and any additional presentation materials.

NTSA Member - (Individual Viewer): $0
NTSA Member - (Additional Viewers): $0

Disclaimer
Statements and materials presented on American Retirement Association webcasts are solely the opinions of the speakers and do not represent the opinion or the position of the American Retirement Association. The American Retirement Association assumes no responsibility for the content and materials presented by speakers during the webcast.

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