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Investment Advisor
April 2010
Melanie Waddell |
Retirement Planning: New Advice Rules Favor RIAs With the new rules brokers would charge a level fee, and couldn't give 'off-model' computer advice.   |
Investment Advisor
July 2010
Melanie Waddell |
Retirement Planning: Discord With DOL Squabbing over proposed final 401(k) advice rules. |
Investment Advisor
April 2008
Melanie Waddell |
Getting a Handle on 408(b)(2) The new Department of Labor rule will prove more onerous for Broker/Dealers than for Registered Independent Advisors. |
Investment Advisor
June 2, 2011
Melanie Waddell |
DOL's Rule 408(b)(2) Saga Continues: Further Compliance Extension Likely Final 408(b)(2) has yet to surface; former EBSA head Campbell says that officials will ask for compliance extension. |
Investment Advisor
December 2009
Melanie Waddell |
Retirement News DOL testimony on fiduciaries... Claims against advisors... Research on roller coaster redemptions... |
Financial Advisor
December 2009
Mary Rowland |
Rough Road The rules on providing investment advice to 401(k) plan participants have been shifting, and the end of the controversy is not in sight. |
Investment Advisor
May 2007 |
The Original SEC Rule The Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor even when they were being paid fees for investment advice. |
Investment Advisor
September 2008
Melanie Waddell |
Disclosure Time The timeline of the Department of Labor's proposed rule on 401(k) plan fee disclosure seems too aggressive. |
Financial Advisor
December 2008
Janet Aschkenasy |
Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors. |
Investment Advisor
January 2008
Melanie Waddell |
DOL Issues Fee Disclosure Regs The Department of Labor introduced its proposed rules on enhancing the disclosures regarding fees that fiduciaries of employee benefits plans receive. |
Investment Advisor
June 2010
Melanie Waddell |
Retirement Planning: Lifetime Income, Target Date Funds To Center Stage DOL, SEC plan three-step target date fund guidance. |
Investment Advisor
October 2008
Melanie Waddell |
DOL Floats Advice Proposals The Department of Labor recently announced two proposed rules under the Pension Protection Act designed to make investment advice more accessible for millions of Americans in 401(k)-type plans and individual retirement accounts. |
Investment Advisor
September 2007
Melanie Waddell |
Failure to Compute? The Department of Labor is set to tell Congress by year-end if computer models are suitable for IRAs. |
Investment Advisor
March 2007
Saxon & Breyfogle |
DOL Issues Favorable New Guidance on PPA "Investment Advice" Provisions The Department of Labor's Field Assistance Bulletin resolves some of the uncertainties created by the PPA and creates a new option for service providers that wish to provide investment advice without fee offsets or reliance on computer models. |
Registered Rep.
September 19, 2011
Kristen French |
Breaking: DOL Will Repropose Its Fiduciary Rule The Department of Labor announced Monday that it would again propose its rule on the application of the fiduciary standard to retirement accounts. |
Investment Advisor
March 2007
Melanie Waddell |
Leading the Way This year is shaping up into one in which advisors will have to stay compliant with a plethora of retirement planning rules and regs if they expect to stay firmly rooted in the retirement planning arena -- and doing what's best for their clients. |
Registered Rep.
April 17, 2015
Megan Leonhardt |
DOL Moves Industry Closer to Harmonization The Department of Labor's proposal may represent the first step in a harmonized fiduciary standard by maintaining flexibility of business models. |
Investment Advisor
April 2008
Melanie Waddell |
401(k) Participants Can Sue Advisors should take heed, as a high court rules in favor of 401(k) participants; will a torrent of similar lawsuits ensue? |
Registered Rep.
January 23, 2015
Megan Leonhardt |
SIFMA Questions The Numbers in White House Research on Broker Conflicts Investors could be losing 10 to 15 percent of their potential retirement savings because of conflicted advice from brokers, according to a memo written by White House economic advisors that could galvanize presidential support for new rules governing advisors of ERISA accounts. |
Registered Rep.
April 1, 2013
Diana Britton |
The New Face of The Fiduciary Just when the industry thought it didn't have to worry about the DOL, the agency has made it clear that its fiduciary standard is imminent. For registered reps and RIAs alike, it could change the game. |
Investment Advisor
November 2007
Melanie Waddell |
On the Capitol Hill Agenda Going into the 2008 Presidential election year, Congress will be addressing the Alternative Minimum Tax and the estate tax, and 401(k) fee disclosure. Washington insiders say actions will be taken in all three areas. |
Financial Planning
December 1, 2010
Trone & Harvey |
Get Smart When the U.S. Department of Labor speaks, we should listen, whether we work with qualified retirement plans or not. The DOL made several announcements in October that are going to be significant game changers for the financial services industry. |
Investment Advisor
May 2009
Melanie Waddell |
Retirement News & Products Retirement news and products: Research by Cerulli Associates focuses on the "bookends" of the 401(k) market... Spectrem Group study found 34% of U.S. employers have reduced or eliminated matching contributions to defined contribution retirement plans... |
Registered Rep.
October 1, 2006
John Churchill |
Deciphering the Rules of Retirement Advice Title VI of the the Pension Protection Act, far from being a clear-cut signal for reps to dive into the retirement advice business, does, however, open the door wider to advice giving. |
Registered Rep.
June 20, 2006
John Churchill |
NYSE Chief John Thain Attacks "Excessive" Regulation Speaking at the second annual NYSE Regulation conference in New York, the NYSE Group CEO took on what he called "excessive" regulation as being one of the factors responsible for driving capital-raising activity outside the U.S. |
Financial Advisor
November 2012
Karen DeMasters |
DOL Fiduciary Regulations May Be Revived U.S. Department of Labor regulations that would extend the fiduciary standard to a larger group of people advising on retirement plans are on hold for now, but they may not be dead, according to those following the fate of the proposals. |
Investment Advisor
December 2007 |
News & Products, December 2007 There's an excellent chance that the Department of Labor will finalize its three initiatives dealing with 401(k) fee disclosures... The IRS has extended the deadline for compliance with Section 409A of the tax code... etc. |
OCC Bulletin
January 12, 2006 |
Home Mortgage Disclosure Act Exemption Threshold for Depository Institutions under Regulation C: the final rule amending the staff commentary that interprets the requirements of the regulation. |
Investment Advisor
September 2008
Melanie Waddell |
SEC, DOL to Share Data The SEC and Department of Labor agree to share information on retirement and investments in an effort to protect the $5.8 trillion in retirement assets of American workers. |
Insurance & Technology
July 25, 2005
Katherine Burger |
A Matter of Time Federal regulation of the U.S. insurance industry is coming - maybe not this year, or even for a few years, but it is inevitable. |
Wall Street & Technology
February 25, 2005 |
Regulators in the Driver's Seat Regulation is here to stay and remains the No. 1 driver for IT organizations within securities and investments businesses for 2005, says recently released research by TowerGroup. |
Financial Planning
February 1, 2012
John F. Wasik |
State of Regulation As states take over regulation of RIAs with up to $100 million in assets under management, many firm owners are wondering if the transition will prove difficult. |
Registered Rep.
December 1, 2006
Halah Touryalai |
Department of Labor to Brokers: No Overtime Pay for You Here is a new twist in the broker overtime pay lawsuits: The Department of Labor (DOL) says brokers are not entitled to overtime pay after all. Well, that is, unless the DOL is wrong, which it allowed could be the case. (No kidding.) |
Investment Advisor
July 2008 |
News & Products, July 2008 Department of labor will continue to scrutinize the indirect compensation that advisors acting as pension consultants receive... The number individuals participating in HSA-eligible high-deductible health plans jumped significantly since 2004... etc. |
Registered Rep.
February 28, 2012
Diana Britton |
Yield of Dreams: FSI to DOL -You're on Your Own Last September, the Department of Labor announced it would repropose its rule on the application of the fiduciary standard to retirement accounts. This was a major coup for the Financial Services Institute, which has been vehemently opposed to the rule. |
Investment Advisor
July 2007
Melanie Waddell |
Stable Value or Not? Stable value as a default option for 401(k) plans debated. |
OCC Bulletin
January 24, 2005 |
Home Mortgage Disclosure Act The Exemption Threshold for Depository Institutions under Regulation C raises the asset size exemption threshold to $34 million for depository institutions that are required to report data under the Home Mortgage Disclosure Act. |
Registered Rep.
October 8, 2004
John Churchill |
Are Reps Advisors or Mere Brokers? The CFA sent a comment letter to SEC Chairman Donaldson, suggesting the nature of the services, not the compensation model, is what is important. And the current exemption misses this point. |
OCC Bulletin
June 1, 2006 |
Interagency Agreement on ERISA Referrals The agreements facilitate the information-sharing process among employees of the banking regulators and Department of Labor. |
Investment Advisor
August 2009
Robert F. Keane |
Fiduciary to the Forefront Industry leaders, associations, regulators, and consumer advocates call for one fiduciary standard for all. |
OCC Bulletin
January 24, 2007 |
Home Mortgage Disclosure Act Higher exemption threshold for depository institutions under Regulation C. |
The Motley Fool
April 14, 2008
Anand Chokkavelu |
Why Paulson's Plan Works Saluting the Secretary of the Treasury's proposed overhaul of financial institution regulations. |
