NTSA Webcast: How the DOL Fiduciary Rule Affects Advisors and Other Retirement Plan Parties

Wednesday, March 31, 2021

2:00 -2:50 p.m. ET

Speaker: Allison Wielobob, General Counsel, American Retirement Association

                      Andy Remo, Director of Legislative Affairs, American Retirement Association

                      Sue Diehl, QKA, CPC, ERPA, President PenServ Plan Services – moderator

 

Experience Level for Attendees: Basic, Intermediate

 

Target Audience:Advisers, TPAs, RIAs, Broker-Dealers

 

Keywords:  DOL Fiduciary Rule; Prohibited Transactions; IRA rollovers

 

IRS Program Number:   CZTXU-Q-01334-21-O

 

Description:  This webinar will discuss the DOL “Improving Investment Advice for Workers and Retirees” Fiduciary rule and how it impacts Advisers, RIAs and Broker-Dealers, including potential compliance issues for the Adviser. There will also be a brief discussion of potential legislation in this area.

 

Learning Objectives

 

1. Know the 5-part test
2. Know the plans and transactions where this rule applies.    
3. Understand the required Disclosures on Fees
4. Learn the differences/similarities between SEC’s Reg BI and the DOL rule
5. Understand the Compliance requirements and PTE 84-24 with record retention
6. Understand next steps and using the Temporary Guidance through the end of 2021

 

           

 

Registration Deadlines: 

 

Live:  03/31/2021

On-Demand:  03/31/2022

 

CE Credit:  1 ASPPA, 1 NAPA Relevant Topics, 1 NTSA, 1 ERPA

                        

Susan D. Diehl is president of PenServ, a nationally recognized pension-consulting firm in Horsham, PA, dedicated to providing its clients, institutional and retail, with the ability to sponsor retirement plans. Susan served as the 1995 Chairperson on the Department of Labor’s ERISA Advisory Council; she also served a two-year term on the IRS’ Information Reporting Program Advisory Committee (IRPAC) as vice chairperson. In 2007, Susan was appointed to a three-year term on the IRS’ Advisory Committee on Tax Exempt and Government Entities (ACT), and she served on the Employee Plans Subcommittee. Through the ACT Committee, Susan assisted in the formation of the new 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. In her spare time she volunteers as a host coordinator with the Interfaith Housing Alliance, sheltering and assisting homeless and displaced families find permanent housing.

 

Registration for on-demand recorded webcast includes unlimited viewing of the webcast recording to play any time before the one-year expiration date, webcast outline, and any additional presentation materials.  Recordings are available one week after the live webcast takes place.

 

Webcast Package Pricing

For more details on additional training package offerings, please contact [email protected]

 

Methods of Registration:  To prevent duplication of payment, please select only one method of registration. Once your registration is processed, you will receive an electronic registration confirmation to the e-mail address listed on your registration form.

Click here to download a registration form

 

Please use Live or On-Demand links to purchase using credit card only. Email confirmations will be sent immediately after purchase.

 

E-mail:   E-mail your scanned registration form(s) and credit card information to [email protected]

 
Fax:        Fax your scanned registration form(s) and credit card information to 703-516-9308.
Mail:      American Retirement Association, PO Box 34725, Alexandria, VA  22334-0725

For express/overnight deliveries (FedEx/DHL, etc., send to:  American Retirement Association, 4401 North Fairfax Drive, Suite 600, Arlington, VA  22203

Make checks payable to the American Retirement Association

 

General Information

 

Cancellation Policy

All webcasts are non-refundable. If you have registered for the live webcast and are unable to attend, please email [email protected] and request to transfer your registration to the recorded version. This request must be made before the live webcast takes place.

 

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.

 

Questions

Registration and General Questions

American Retirement Association Customer Support

703-516-9300

[email protected]