Regulatory Compliance

Regulatory Compliance covers compliance with ethical codes of conduct as well as those promulgated by FINRA and the SEC. 



Regulatory Compliance

Regulatory Compliance

By Nevin Adams11/17/2017 • 0 Comments

The National Association for Fixed Annuities hasn’t had much success thus far in its litigation challenging the Department of Labor’s (DOL) fiduciary regulation — until now. READ MORE

By ASPPA Net Staff11/17/2017 • 0 Comments

For the PBGC pension plan insurance programs, the glass was both half full and half empty in federal fiscal year 2017. READ MORE

By Ted Godbout11/16/2017 • 0 Comments

While all eyes have been on the latest tax reform changes, there were two important hearings taking place on Capitol Hill Nov. 15 concerning the Department of Labor. READ MORE

By John Iekel11/16/2017 • 0 Comments

The IRS has updated its Listing of Required Modifications (LRM) and Information Package for defined contribution plans. READ MORE

By John Iekel11/14/2017 • 0 Comments

Retirement benefits are on the agenda in the IRS’ recently released 2017-2018 Priority Guidance Plan. READ MORE

By ASPPA Net Staff11/9/2017 • 0 Comments

The PBGC has announced that it has reached an agreement that will provide approximately $500 million in funding for Sears’ two pension plans. READ MORE

By ASPPA Net Staff11/9/2017 • 0 Comments

The U.S. Senate is expected to unveil its tax reform package today — could Rothification resurface? READ MORE

By ASPPA Net Staff11/9/2017 • 0 Comments

The Senate Health, Education Labor & Pensions (HELP) Committee will hold a hearing Nov. 15 on a new potential Assistant Secretary of Labor, Employee Benefits Security Administration. READ MORE

By Nevin Adams11/7/2017 • 0 Comments

The long-standing dispute over the fiduciary regulation’s anti-arbitration clause has finally drawn to a close – and something of a “win-win.” READ MORE

By ASPPA Net Staff11/7/2017 • 0 Comments

If past is precedent, then the Labor Department could expect to hear from the Office of Management and Budget (OMB) on its review of its proposed delay in applicability date for parts of the fiduciary regulation in about three weeks. READ MORE

By Nevin Adams 11/1/2017 • 0 Comments

Stephen King’s It involves a certain malevolent spirit that rises up every generation, wreaks havoc and feeds on the unsuspecting, before going back into hibernation. Sound familiar? READ MORE

By ASPPA Net Staff11/1/2017 • 0 Comments

Fred Reish is worried about your 408(b)(2) disclosures. READ MORE

By Ted Godbout11/1/2017 • 0 Comments

While many are likely aware that the Best Interest Contract Exemption (BICE) requires satisfaction of three impartial conduct standards, there is a fourth, less well known requirement. READ MORE

By John Iekel11/1/2017 • 0 Comments

The IRS has expanded the relief it is providing to victims of Hurricanes Harvey, Irma and Maria and the California wildfires. READ MORE

By Nevin Adams11/1/2017 • 0 Comments

Apparently we’ll have to wait another day to find out what House Republicans have in mind for tax reform. READ MORE

By ASPPA Net Staff11/1/2017 • 0 Comments

The Federal Bureau of Investigation has raided the offices of Vantage Benefits Administrators “amid concerns that money may be missing from retirement accounts the company manages,” according to the Dallas Morning News. READ MORE

By ASPPA Net Staff10/31/2017 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) announced on Oct. 30 that the guarantee limits for single-employer plans that fail in 2018 will be 0.95% higher than the limits that applied for 2017. READ MORE

By John Iekel10/30/2017 • 0 Comments

The California Secure Choice Retirement Savings Investment Board has issued a request for proposal for investment consulting services. READ MORE

By John Iekel10/30/2017 • 0 Comments

IRS Employee Plans examiners have been told to not challenge a qualified plan for failing to satisfy RMD standards under certain circumstances. READ MORE

By Ted Godbout10/30/2017 • 0 Comments

If last week’s volley between President Trump and House Ways and Means Committee Chairman Kevin Brady (R-TX) over the potential Rothification of 401(k)s has you perplexed, rest assured, we should have some initial answers this week. READ MORE

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