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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 NTSA Net Staff2/20/2018 • 0 Comments

In MarketBeat, ERISA attorney Fred Reish discusses what the best interest standard really requires. READ MORE

By Nevin Adams 2/20/2018 • 0 Comments

The Massachusetts Securities Division filed charges against Scottrade for knowingly violating its internal policies regarding DOL fiduciary rule implementation — which plaintiffs seeking to overturn that rule say validates their concerns. READ MORE

By Nevin Adams2/15/2018 • 0 Comments

The Massachusetts Securities Division has filed charges against a firm for knowingly violating its internal policies regarding implementation of the DOL fiduciary rule — and taken a shot at the Department of Labor. READ MORE

By John Iekel 1/30/2018 • 0 Comments

At a Jan. 25 session of the 2018 NTSA Summit in Houston, NTSA Executive Director Brent Neese outlined the top 10 issues affecting state advocacy and the 403(b) market, and called for active engagement by NTSA members. READ MORE

By John Iekel 1/26/2018 • 0 Comments

A recent analysis suggests that the SEC’s take on a fiduciary standard may be inching closer to that of the DOL. READ MORE

By NTSA Net Staff1/22/2018 • 0 Comments

In MarketBeat, we look at a discussion by ERISA attorney Fred Reish concerning what he terms “another mistaken belief” about the fiduciary regulation. READ MORE

By John Iekel 1/19/2018 • 0 Comments

The New York Department of Financial Services’ proposal for a “best interest” standard for those licensed to sell life insurance and annuity products is of limited scope and notable for what it leaves out. READ MORE

By John Iekel 1/18/2018 • 0 Comments

The New York Department of Financial Services’ proposal for a “best interest” standard for those licensed to sell life insurance and annuity products is of limited scope and notable for what it leaves out. READ MORE

By NTSA Net Staff1/8/2018 • 0 Comments

The fiduciary regulation has been in effect since June 2017 — but there are misunderstandings aplenty, and in his most recent blog post, Fred Reish takes one on. READ MORE

By NTSA Net Staff11/28/2017 • 0 Comments

In MarketBeat, John Iekel discusses Christopher Carosa’s treatment of how the DOL fiduciary rule can be reconciled with longstanding laws on handling the transactions it covers. READ MORE

By Nevin Adams 11/21/2017 • 0 Comments

In a big win for the lobbying efforts of the American Retirement Association’s Government Affairs Committee (GAC), the IRS has dropped a series of compliance questions from the 2017 Form 5500. READ MORE

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 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 NTSA 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 NTSA Net Staff10/18/2017 • 0 Comments

The Department of Labor (DOL) continues to fight an attempt by at least one fiduciary rule opponent to pursue its case in court. READ MORE

By NTSA Net Staff10/13/2017 • 0 Comments

President Trump has officially announced his intent to nominate Preston Rutledge to be an Assistant Secretary of Labor, Employee Benefits Security Administration. READ MORE

By Ted Godbout10/11/2017 • 0 Comments

A published report says the Trump administration is prepared to nominate a new Assistant Secretary for the Department of Labor’s Employee Benefits Security Administration (EBSA). READ MORE

By John Iekel10/5/2017 • 0 Comments

SEC Chairman Jay Clayton reiterated on Oct. 4 in testimony before the House Financial Services Committee that he is “focused on the standards of conduct” for investment professionals. READ MORE

By Ted Godbout9/28/2017 • 0 Comments

Rep. Ann Wagner (R-MO) introduced legislation on Sept. 27 that would repeal the Department of Labor’s (DOL) fiduciary rule and create a new standard of conduct for brokers and dealers. READ MORE

By John Iekel9/26/2017 • 0 Comments

SEC Chairman Jay Clayton told the Senate Committee on Banking, Housing and Urban Affairs he hopes the SEC can “properly tailor” an approach that will best address issues related to the DOL fiduciary rule. READ MORE

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