Practice Management

The responses in the private sector to the risks that cybercrime poses to retirement plans, service providers and participants are as varied as its myriad components. But while one may expect that there would be a more uniform response from the public sector to protect its plans and participants, a... READ MORE

With little fanfare and precious little notice, come July 1, 2017, broker-dealers and advisors doing business in Nevada will be subjected to a new fiduciary standard. Senate Bill 383, signed into law by Nevada Gov. Brian Sandoval (R) on June 2, revises the Nevada Securities Act to mandate that any... READ MORE

The DOL fiduciary rule — at least significant parts of it — has now been implemented. The dust has just begun to settle, although it could be stirred up again at any time. But for now, the rule is in place. A recent analysis offers an assessment of where things stand.In a recent Forbes post, “New... READ MORE

It’s that time of year again! Help shape the 2018 NTSA Summit Fly-In by participating in our interactive online polling tool where you decide the content for next year’s event. Here’s How it Works: The online tool presents two session ideas. You pick your favorite — or add your own idea for... READ MORE

The House of Representatives approved broad-based financial overhaul legislation on June 8 that seeks to repeal major provisions of the Dodd-Frank Act, as well as the Department of Labor’s now-effective fiduciary rule.Congressional Republicans have taken aim at repealing the Dodd-Frank Act since it... READ MORE

A bill that would repeal some of the major provisions of Dodd-Frank and the DOL’s fiduciary rule will move to the House floor for a vote this week, something that did not happen in previous sessions for similar legislation. That said, even if the House passes it, its chances in the Senate are bleak... READ MORE

Suppose a public school client approved you as a vendor and recognizes you as the representative for an annuity company which wants to decide who the representative shall be. In Tech Talk, Susan Diehl offers suggestions regarding how the district should respond to the company. READ MORE

As concerns about cybersecurity proliferate, a state securities regulator is considering changes that would impose new requirements on financial advisers and broker-dealers.The Colorado Division of Securities is considering a proposal that would require broker-dealers to establish and maintain... READ MORE

The Form 5500 is near and dear to the many ASPPA members who prepare these forms each year. A recent concern in this area has been the new IRS “compliance” or “5500-SUP” questions that were originally to be required for the 2015 form but have been delayed ever since. Those delays have come... READ MORE