DOL Issues

This station houses posts and commentary on regulatory requirements and developments at the DOL affecting NTSA members, including the regulatory development process, changes in existing requirements, best practices in ensuring that clients remain in compliance with statutory and DOL rules, and inside-the-DOL news.




DOL Issues

DOL Issues

By Brian Graff4/26/2018 • 0 Comments

The 21st Century is nearly two decades old — so why are we still relying on 17th Century technology for critical participant communications? READ MORE

By John Iekel 4/26/2018 • 0 Comments

The latest installment of ERISA Tips discusses the disclosure requirements concerning the summary plan description (SPD). READ MORE

By NTSA Net Staff4/26/2018 • 0 Comments

A long-time proponent of the Labor Depatment’s fiduciary rule is planning to challenge the recent 5th Circuit decision to vacate the rule. READ MORE

By Ted Godbout4/25/2018 • 0 Comments

Speculation continues to swirl on whether the Department of Labor will appeal the ruling by the 5th U.S. Circuit Court of Appeals vacating the fiduciary rule, but time is running short. READ MORE

By John Iekel 4/23/2018 • 0 Comments

The latest installment of ERISA Tips concerns the importance of understanding ERISA Section 404(c). READ MORE

By Nevin Adams 4/19/2018 • 0 Comments

Despite the 4-1 vote by the SEC to release for public comment its fiduciary proposals, the commissioners apparently (still) have issues with the current version. READ MORE

By Andrew Remo4/19/2018 • 0 Comments

The SEC commissioners voted 4-1 to release for public comment a set of proposals to “enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers while preserving access to a variety of types of advice relationships and investment products.” READ MORE

By John Ortman 4/16/2018 • 0 Comments

American Retirement Association CEO Brian Graff unveiled plans April 15 to address the expensive and outdated ERISA requirement to disclose information to 401(k) participants in paper form. READ MORE

By Nevin Adams4/12/2018 • 0 Comments

Scottrade wants to make a federal case out of an administrative proceeding filed by Massachusetts alleging violations of internal policies adopted in anticipation of the Labor Department’s fiduciary rule. READ MORE

By NTSA Net Staff4/9/2018 • 0 Comments

MarketBeat focuses on an analysis by the Ferenczy Benefits Law Center of the recent decision in which the U.S. Court of Appeals for the 5th Circuit vacated the DOL's fiduciary rule. READ MORE

By John Iekel 4/6/2018 • 0 Comments

The latest installment of ERISA Tips concerns the requirement that an SPD explain eligibility in manner that is clear enough for the average plan participant to understand. READ MORE

By NTSA Net Staff4/3/2018 • 0 Comments

In MarketBeat, John Iekel looks at a recent analysis that suggests that the 5th Circuit’s recent ruling on the fiduciary rule may not have the results the rule’s opponents intended. READ MORE

By Nevin Adams3/27/2018 • 0 Comments

An appeal of a decision supporting the Department of Labor’s (DOL) fiduciary rule won’t have its day in court, after all. READ MORE

By John Iekel 3/23/2018 • 0 Comments

The latest ERISA Tips features a discussion of the difference between ERISA and Non-ERISA plans. READ MORE

By NTSA Net Staff3/20/2018 • 0 Comments

In MarketBeat, Nevin Adams discusses what he considers to be the three biggest mistakes fiduciaries make. READ MORE

By John Iekel 3/19/2018 • 0 Comments

ERISA Tips provides a brief outline of civil and criminal violations of ERISA that a plan's administrators can make. READ MORE

By Nevin Adams 3/19/2018 • 0 Comments

The industry may be wondering what’s next in the wake of last week’s federal court decision vacating the fiduciary rule — but, for now anyway, the DOL says it is taking a pause. READ MORE

By NTSA Net Staff3/16/2018 • 0 Comments

The upcoming NTSA Webcast, "The New 403(b) Plan Documents Part II: Don’t Even Think About Removing My Appendix!" will take a close look at the requirements of completing all plan provisions. READ MORE

By Nevin Adams 3/16/2018 • 0 Comments

The Labor Department finally came up short in federal court — but trade industry headlines notwithstanding, like Mark Twain, the rumors of the fiduciary rule’s “demise” might be a bit premature. READ MORE

By Nevin Adams3/15/2018 • 0 Comments

The fiduciary rule kept its winning streak intact in the first ruling by a federal appellate court. READ MORE

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