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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 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 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 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 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 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.
Investment Advisor April 2009 Melanie Waddell	Retirement Planning: Advice Rule Revisited Changes are in store to the Department of Labor's investment advice regulation, and its implementation is delayed.
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.
Investment Advisor December 2009	Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts.
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.
Registered Rep. July 8, 2010 Michael Stillman	For 401k Advisors, Comp Models Must Change In the short-term, financial advisors will need to adjust their 401(k) fee arrangements. For the long-term, registered reps may find it necessary to work with -- or become -- registered investment advisors.
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 December 2009 Melanie Waddell	Retirement News DOL testimony on fiduciaries... Claims against advisors... Research on roller coaster redemptions...
Registered Rep. March 2, 2010 John Aidan Byrne	New Rules For 401k Advice The White House has proposed rules that require advisors to either use independent computer models that spit out advice, or else avoid steering workers into funds to which they are tied or that pay them a fee based on their recommendation.
Financial Planning September 1, 2008 Blaine Aikin	New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides.
On Wall Street April 1, 2010 Trone & Harvey	Are The Retirement Waters Now Murkier? A 40-page document of new regulations from the Department of Labor sets out to ease the challenges of offering investment advice to retirement plan participants and to lessen any conflicts of interest.
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.
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.
On Wall Street March 1, 2010 Bo Bohanan	Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident.
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 January 2007 Ken Ziesenheim	The Other Fiduciary Issue Many members of company retirement plan investment committees are not fully aware of the nature of their fiduciary responsibilities.
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.
Financial Advisor May 2007 Ken Ziesenheim	Diamonds In The Rough The new Pension Protection Act offers opportunities for financial advisors, if you know where to dig.
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.
Financial Advisor December 2008 Janet Aschkenasy	Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors.
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. January 16, 2013 Diana Britton	DOL's Fiduciary Proposal Presents Renewed Threat to Securities Industry SIFMA expects a DOL fiduciary proposal in the second quarter of this year, renewing the industry's concern over the possible legislation, which the organization says is contrary to the SEC's.
Investment Advisor July 1, 2011 Tom Lydon	ETFs At Last: The Future of 401(k)s Exchange-traded funds are beginning to attract greater attention for participant-directed individual account plans.
The Motley Fool February 7, 2005 Rich Duprey	Retire the IRS Way? Regulation proposal will offer sweeping overhaul of 403(b) plans. Feb. 14 deadline for public comment nears.
Registered Rep. May 26, 2005 Kristen French	Under ERISA, No Padding Profits with Revenue Sharing Under a recent Department of Labor directive, revenue-sharing arrangements between mutual funds and advisors to employee benefit plans can no longer be used to pad profits.
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.
Financial Planning November 1, 2010 Trone & Harvey	The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.
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.
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.
Financial Advisor September 2011	Frontline News Laboring Over A Fiduciary Standard... Advisory/Brokerage Industry Still Climbing Out Of Meltdown Wreckage... Compliance Hot Spots... etc.
Investment Advisor February 2008 Elizabeth D. Festa	Big Years Ahead for Auto Enrollment The implementation of automatic enrollment in 401(k)s among many medium-sized companies will spike, adding perhaps 10 million more retirement savers to the 50 million now enrolled.
Investment Advisor July 2007 Melanie Waddell	Stable Value or Not? Stable value as a default option for 401(k) plans debated.
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.
Registered Rep. November 21, 2010 Michael Stillman	Bundled 401(k)s May Be Ripping Off Your Clients You can help your plan sponsors -- and potentially their plan participants -- by guiding them through the pros and cons of bundled vs. unbundled services.
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.
CFO Kris Frieswick	Prudent Man With A Plan Most 401(k) reforms before congress don't address a critical source of risk: fiduciary duty.
Financial Advisor June 2011 Jerilyn Klein Bier	Tapping 401(k) Opportunities Financial advisors in the 401(k) space are optimistic about future prospects in a shifting regulatory landscape.
Registered Rep. November 1, 2005 Kristen French	Trolling for 401(k) Treasure Congress is expected to enact new pension legislation that would make it easier for financial advisors to work with participants in company retirement programs.
Financial Planning April 1, 2012 Donna Mitchell	The BIG Fix Familiar as 401(k)s are, planners love to hate them, and they'll readily cite long lists of faults with the plans themselves, as well as the way the $2.8 trillion 401(k) industry operates.
Investment Advisor May 2007	That's Not How I Read PPA Letters to the editor: DOL Requires More Due Diligence for 401(k) Advisors... You say adviser, we say advisor... Corrections...
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.
CFO December 1, 2011 Russ Banham	Lifting the Lid on 401(k) Fees The coming mandatory disclosure of plan fees could give participants a nasty shock.
CFO May 8, 2006 Randy Myers	Drawing a Bead on Cost A clearer picture of 401(k) plan fees is helping more plan providers drive down costs.
Financial Advisor May 2008 Marla Brill	Under Pressure Financial advisors who provide services to businesses with 401(k) plans governed by the Employee Retirement Income Security Act have a new reason to review fiduciary practices and double-check professional liability insurance.
Investment Advisor July 1, 2011 Melanie Waddell	Retirement Plans' Perilous Future Between threats of cutting tax benefits and crackdowns on non-compliant plans, for the retirement industry stakes are higher than they ever were.