Fiduciary Rules and Practices




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 NTSA Net Staff4/17/2018 • 0 Comments

In MarketBeat, Robert Toth discusses how the tax reform law affects participant loans and the way ERISA’s fiduciary rules apply to loans and their administration. READ MORE

By John Iekel 4/13/2018 • 0 Comments

The latest installment of ERISA Tips concerns QDIA regulations and fiduciary relief under ERISA Section 404(c). READ MORE

By Ted Godbout4/12/2018 • 0 Comments

New York State’s Attorney General reached agreement with several large mutual fund firms to make information relating to their actively managed equity funds readily accessible and is calling on others to follow suit. 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 Nevin Adams4/12/2018 • 0 Comments

The Securities and Exchange Commission has announced plans for an open meeting to consider the agency’s long-awaited — and much anticipated — fiduciary proposal. 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 Nevin Adams 4/4/2018 • 0 Comments

Most, but not all, of the claims alleging that a plan provider’s loan process generated “ill-gotten” gains that exceed $50 million per year have been dismissed. READ MORE

By Nevin Adams4/3/2018 • 0 Comments

One of the first university 403(b) cases to be filed has had most of its motions to dismiss denied in the U.S. District Court for the District of Connecticut. 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 John Iekel 4/3/2018 • 0 Comments

This installment of ERISA Tips focuses on the importance of plan monitoring.


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 Joseph Caruso3/26/2018 • 0 Comments

State of the State Houses reports on the status of legislation before the legislatures of Iowa, Kentucky, Maryland and Oklahoma that is relevant to NTSA members. READ MORE

By Joseph Caruso3/21/2018 • 0 Comments

For the moment, anyway, the Old Line State has stepped back crossing a line that would have established its own fiduciary rule. 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 Joseph Caruso3/19/2018 • 0 Comments

State of the State House provides a look at the status of legislation before state legislatures in Maryland and Tennessee that is relevant to NTSA members. 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 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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