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Fiduciary Rules and Practices


 

 

 

Fiduciary Rules and Practices

Fiduciary Rules and Practices

By John Iekel 2/22/2018 • 0 Comments

Legislation before the Maryland legislature would expand fiduciary duties in the Old Line State for broker-dealers, agents and investment advisers. READ MORE

By NTSA Net Staff2/20/2018 • 0 Comments

This marks the inauguration of a new feature for the 403(b) Advisor, ERISA Tips. This first tip offers a discussion of ERISA Section 404(c). READ MORE

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 Nevin Adams1/26/2018 • 0 Comments

An amended claim in an excessive fee litigation treads some new ground – including naming the plan’s investment advisor as a defendant. 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 Nevin Adams1/19/2018 • 0 Comments

If at first you don’t succeed, try, try again — and the plaintiffs in an excessive fee suit have done just that. 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 IRS and PBGC are granting relief to those in the Golden State who have suffered due to the recent wildfires, floods, mudslides and debris flows that began on Dec. 4, 2017. 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 John Iekel 1/17/2018 • 0 Comments

Implementation of the DOL’s fiduciary rule has been delayed, but the SEC's work on its own rule reportedly is accelerating. READ MORE

By Ted Godbout1/16/2018 • 0 Comments

Legislation is before the New Jersey legislature that would require certain disclosures by non-fiduciary investment advisors regarding their fiduciary status with clients. 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 Staff12/12/2017 • 0 Comments

In MarketBeat, John Iekel discusses a blog entry and IRS ideas on how to protect retirement plans and balances from cyber attacks and criminals. READ MORE

By John Iekel12/4/2017 • 0 Comments

Are any of your 403(b)'s assets invested in proprietary funds? If so, says a recent blog entry, you are not alone — and it is possible to blunt potential criticism about that. READ MORE

By NTSA Net Staff11/28/2017 • 0 Comments

Yes, the holidays are upon us — but there’s no time like the present to get a head start on 2018 at the NTSA Summit! 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

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