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.




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American Retirement Association CEO Brian Graff unveiled plans April 15 to address the expensive and outdated ERISA requirement to disclose information to 401(k) participants in paper form.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

By NTSA Net Staff3/9/2018 • 0 Comments

Remember that the automatic prospectus delivery requirement has been eliminated, but the Securities and Exchange Act requires that 403(b) and 457(b) plan prospectuses be delivered. READ MORE

By John Iekel 3/5/2018 • 0 Comments

This week, ERISA Tips discusses basic due diligence for ERISA 403(b) plans and non-ERISA plans. READ MORE

By NTSA Net Staff3/5/2018 • 0 Comments

The American Retirement Association (ARA) has lent its support to a Department of Labor (DOL) proposal on Association Health Plans — and offered a couple of recommendations as well. READ MORE

By NTSA Net Staff3/1/2018 • 0 Comments

Among the “myths” surrounding the fiduciary rule is that the rule will not be enforced during the transition period. But that’s not the whole story, Fred Reish notes in a recent blog post. READ MORE

By Nevin Adams2/28/2018 • 0 Comments

Georgetown University and two of its officers are the latest to find themselves in the crosshairs of an excessive fee suit. READ MORE

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