Regulatory Compliance

Regulatory Compliance covers compliance with ethical codes of conduct as well as those promulgated by FINRA and the SEC. Much of the interaction a plan advisor has with plan sponsors and participants is governed by ERISA and agencies like the Department of Labor. But as registered reps or investment advisory reps, their conduct and activity are also regulated by FINRA and the SEC. In turn, broker dealers and registered investment advisors must also adhere to the rules relating to retirement plans, as well as their representatives’ interaction with the investing public. 

Regulatory Compliance

Regulatory Compliance

By Brian Graff, Esq.5/8/2015 • 0 Comments

Registered investment advisors may be thinking that the Department of Labor’s proposed “conflict of interest” regulation doesn’t have an impact on them. After all, they are already fiduciaries acting in the best interest of their client. READ MORE

By NAPA Net Staff5/8/2015 • 0 Comments

Eighteen Democrats in the U.S. House of Representatives have urged the DOL to extend the comment period for its April 14 “conflict of interest” rule from 75 days to 120 days. READ MORE

By NAPA Net Staff4/27/2015 • 0 Comments

There are three standards of care applicable today to interactions between financial advisors and their clients — and the DOL’s conflict-of-interest proposal stands to add a fourth. READ MORE

By NAPA Net Staff4/22/2015 • 0 Comments

The IRS has just issued final regulations of interest to advisors that work with executive benefit plans. READ MORE

By NAPA Net Staff4/17/2015 • 0 Comments

FINRA’s Board of Governors decided to move forward with proposed changes to the industry-funded regulatory group’s “Communications With the Public” rules at its April 16 meeting.


By NAPA Net Staff4/16/2015 • 0 Comments

In the wake of several EEOC lawsuits regarding employer-based wellness programs, the Obama administration has issued guidance on how to avoid running afoul of nondiscrimination laws. READ MORE

By NAPA Net Staff4/15/2015 • 0 Comments

Industry insider and fiduciary geek Pete Swisher has penned a timely and insightful piece on the history and potential future impact of the Department of Labor’s new “conflict of interest” proposal. READ MORE

By John Iekel4/14/2015 • 0 Comments

It’s been a long time coming, but after a nearly five-year odyssey the Department of Labor on April 14 unveiled a proposed regulation that redefines who a plan fiduciary is — and makes it clear that the Obama administration intends the rule to be a way to increase consumer protections for plan sponsors, fiduciaries, participants, beneficiaries and IRA owners. READ MORE

By NAPA Net Staff4/8/2015 • 0 Comments

As part of its exam cycle, the SEC is reviewing the “entire spectrum of 12b-1 fees,” according Marc Wyatt, deputy director of the agency’s Office of Compliance Inspections and Examinations. READ MORE

By Nevin Adams4/3/2015 • 0 Comments

Plans that have, or have been contemplating, automatic enrollment features just got some good news from the Internal Revenue Service. READ MORE

By NAPA Net Staff4/1/2015 • 0 Comments

The Internal Revenue Service is moving to make it easier – and in some cases cheaper – to remedy plan problems with participant loans. READ MORE

By NAPA Net Staff3/18/2015 • 0 Comments

Your plan sponsor clients just got a little more breathing room on those annual 401(k) plan investment notices. READ MORE

By NAPA Net Staff2/5/2015 • 0 Comments

The IRS has outlined some errors of omission — or commission — that could draw audit scrutiny for your plan sponsor clients. READ MORE

By NAPA Net Staff1/2/2015 • 0 Comments

Have the retirement plans you work with had a checkup in the last year? If not, the IRS says one could be overdue.


By NAPA Net Staff12/17/2014 • 0 Comments

The IRS has released some key end-of-year reminders for holders of IRAs. Advisors and others who deal with IRAs may find the information in Special Edition Tax Tip 2014-24 useful to share with clients and employees. READ MORE

By NAPA Net Staff12/1/2014 • 0 Comments

The IRS has amended the safe harbor explanations provided with eligible rollover distributions to accommodate recent guidance on in-plan Roth rollovers and the allocation of taxable amounts. READ MORE

By NAPA Net Staff11/13/2014 • 0 Comments

In a post on BenefitsPro, Heidi L. LaMarca of the Atlanta-based CPA firm of Windham Brannon, reveals her list of the top 10 mistakes auditors catch. READ MORE

By Nevin Adams11/11/2014 • 0 Comments

The IRS issued a clarification Nov. 10 on the application of the one-per-year limit on IRA rollovers. In Announcement 2014-32, the IRS said it had received comments about the “administrative challenges presented by the Bobrow interpretation of §408(d)(3)(B).”


By Nevin Adams10/24/2014 • 0 Comments

Plans interested in providing lifetime income alternatives via target-date funds that include deferred annuities just got some much-needed clarity from the IRS. READ MORE

By Nevin Adams9/29/2014 • 1 Comments

If you work with a plan in, or with certain connections to, the state of Florida, you may have a compliance problem with your plan loans.


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