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 John Iekel 1/12/2018 • 0 Comments

The IRS has released the instructions for Form 9855-SSA, Annual Registration Statement Identifying Separated Participants With Deferred Vested Benefits, for 2017 filing. READ MORE

By John Iekel 1/12/2018 • 0 Comments

Missouri is the latest state whose legislature has before it a measure that would establish a state-run program for employees whose employers do not offer a retirement plan. READ MORE

By John Iekel 1/12/2018 • 0 Comments

OregonSaves, the state-sponsored retirement plan for private-sector workers, is now open to any employer of any size in Oregon. READ MORE

By John Iekel 1/12/2018 • 0 Comments

The advent of 2018 has brought new requirements for practitioners who contact the IRS Practitioner Priority Service line for assistance. READ MORE

By John Iekel 1/10/2018 • 0 Comments

The PBGC has released the Premium Filing Instructions to be used for 2018 plan years. READ MORE

By ASPPA Net Staff1/10/2018 • 0 Comments

A recent posting provides a comprehensive enumeration of deadlines single-employer DB plans that operate on a calendar-year basis must meet. READ MORE

By John Iekel 1/8/2018 • 0 Comments

What was the top news story of the year that just ended? A recent blog post discusses retirement-related subjects that generated the greatest interest. READ MORE

By Nevin Adams1/8/2018 • 0 Comments

A change in methodology means that large retirement plan sponsors will pay significantly less to fix plan mistakes through the Voluntary Correction Program — but plans with fewer than 100 participants will pay more. READ MORE

By John Iekel 1/3/2018 • 0 Comments

IRS Revenue Procedure 2018-01 reports that for 2018, the IRS has changed the fees for voluntary correction program (VCP) filings, as well as other user fees. READ MORE

By Ted Godbout1/3/2018 • 0 Comments

While the new tax law avoided major changes to the existing retirement tax provisions, the same cannot be said for the tax treatment of executive compensation and related provisions. READ MORE

By John Iekel 1/3/2018 • 0 Comments

The PBGC’s Participant and Plan Sponsor Advocate has issued a report on the 2017 activities of her office on participant claims, multiemployer plans, plan sponsor issues and pension de-risking. READ MORE

By John Iekel 12/27/2017 • 0 Comments

The PBGC has issued a statement on its regulatory — and deregulatory — priorities; it intends these actions to promote clarity and reduce burdens and costs. READ MORE

By Ted Godbout12/27/2017 • 0 Comments

The U.S. House of Representatives approved legislation on Dec. 21 extending to victims of the California wildfires access to their 401(k)s and similar plans without incurring IRS penalties or immediate tax liability. READ MORE

By ASPPA Net Staff12/27/2017 • 0 Comments

Before heading out of town for the Christmas holiday, the Senate managed to make some key regulatory agency confirmations. READ MORE

By Ted Godbout12/27/2017 • 0 Comments

Before heading out for the holidays, President Trump on Dec. 22 signed into law (H.R. 1/P.L. 115-97) the most significant overhaul of the federal tax code since the Tax Reform Act of 1986. READ MORE

By Ted Godbout12/21/2017 • 0 Comments

The Pension Benefit Guaranty Corporation has expanded its missing participants program to terminated 401(k) and other plans in an effort to make it easier for people to locate their retirement benefits after their plan terminates. READ MORE

By John Iekel 12/20/2017 • 0 Comments

The IRS has updated the Mortality Improvement Rates and Static Mortality Tables for Defined Benefit Pension Plans for 2019. READ MORE

By Ted Godbout12/14/2017 • 0 Comments

Bipartisan legislation that would allow for electronic delivery of pension and retirement plan information was introduced in the U.S. House of Representatives Dec 11. READ MORE

By Ted Godbout12/12/2017 • 0 Comments

House Ways & Means Committee Chairman Kevin Brady (R-TX) has announced that House and Senate conferees will hold an open meeting on Dec. 13 to begin reconciling the chambers’ versions of tax reform. READ MORE

By Nevin Adams 12/8/2017 • 0 Comments

A scheme targeting individual 401(k) accounts, potentially at multiple recordkeepers, has resulted in a lawsuit by the U.S. Attorney’s office in Colorado to recover as much as $2 million in losses. READ MORE

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