FINRA Issues

Here you’ll find posts and commentary on the HR issues facing executives and owners of businesses in the retirement industry: recruiting, hiring, compensation, firing, succession planning, etc.




FINRA Issues

FINRA Issues

By NTSA Net Staff3/8/2017 • 0 Comments

Much of the preparation for the Labor Department’s fiduciary regulation has involved a focus on rollover advice — but it now looks like the SEC is gearing up a larger focus as well. READ MORE

By NTSA Net Staff5/4/2016 • 0 Comments

The Financial Industry Regulatory Authority (FINRA) announced May 3 that it has fined MetLife Securities, Inc. $20 million for allegedly misleading “tens of thousands” of customers who purchased variable annuities. READ MORE

By NTSA Net Staff4/15/2016 • 0 Comments

Some retirees and IRA holders who turned age 70½ in 2015 had to take required minimum distributions by April 1; others must take them by New Year’s Eve. FINRA has taken the opportunity to update its treatment of common questions about RMDs and IRAs.

By NTSA Net Staff3/21/2016 • 0 Comments

The impending release of the Department of Labor’s (DOL) fiduciary rule could spur the development and use of new technology, as well as fresh oversight of the technology intended to help with compliance. READ MORE

By NTSA Net Staff5/28/2015 • 0 Comments

The Labor Department’s fiduciary proposal — or more specifically, its “appropriate standard of care” for brokers and dealers — was the focus of comments by FINRA Chairman and Chief Executive Officer Richard Ketchum at the 2015 FINRA Annual Conference May 27.

By Chris DeGrassi2/26/2015 • 0 Comments

The NTSA's persistent effort to ensure that public school employees receive the same important information provided to private sector retirement plan participants has passed a significant milestone. READ MORE

By John Iekel6/25/2014 • 0 Comments

The federal government, a purveyor of regulations and legislation, has set before the 403(b) community a veritable blue plate special — and one with a long shelf life to boot. NTSA President Susan Diehl of PenServ Services, Inc., outlined what’s on that plate at NTSA’s 403(b) Summit in Washington, D.C., on June 24.


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