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Retirement Plan › Employee Retirement Income Security Act (ERISA) › Registered Investment Advisors

SEC Compliance Consultants, Inc. (SEC³)

What Advisers Need to Know Now About Giving Rollover Advice after September 23, 2024

SEC Compliance Consultants, Inc. (SEC³) on

This article was originally published on Kitces.com, on May 15, 2024, and is available at at DoL’s Retirement Security Rule & PTE 2020-02 Amendment: What Advisers Need to Know Now about Giving Rollover Advice After September...more

Faegre Drinker Biddle & Reath LLP

DOL Finalizes Changes to the Qualified Professional Asset Manager (QPAM) Exemption: What Investment Managers Need to Know

Faegre Drinker Biddle & Reath LLP on

On April 3, 2024, the U.S. Department of Labor (DOL) published an updated final version of prohibited transaction class exemption 84-14, also known as the qualified professional asset manager exemption (PTCE 84-14 or the QPAM...more

Faegre Drinker Biddle & Reath LLP

The New Fiduciary Rule (5): Discretionary Investment Management

Faegre Drinker Biddle & Reath LLP on

The US Department of Labor has released its package of proposed changes to the regulation defining nondiscretionary fiduciary advice and to the exemptions for conflicts and compensation for investment recommendations to...more

Faegre Drinker Biddle & Reath LLP

Florida Court Decision’s Impact on Rollover Advice

Faegre Drinker Biddle & Reath LLP on

The Department of Labor (the DOL) expanded its interpretation of fiduciary advice in its guidance issued in connection with Prohibited Transaction Exemption (PTE) 2020-02. As a result, many more broker-dealers and registered...more

Akin Gump Strauss Hauer & Feld LLP

DOL Issues Proposed Amendment to the QPAM Exemption

Akin Gump Strauss Hauer & Feld LLP on

On June 26, 2022, the U.S. Department of Labor (DOL) announced a proposed amendment to the prohibited transaction class exemption 84-14 (the “QPAM Exemption”). The QPAM Exemption is a broad-based class exemption relied upon...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Advisors Advantage - January 2017

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

How An RIA Can Profit Off Of The New Fiduciary Rule. It's an opportunity. When it comes to an industry, change is often fraught with trepidation and fear. However, I always believe that change also brings...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

You Can Always Be A Step Away From Getting Sued

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

A well-respected registered investment advisor was recently named as a defendant in a class-action lawsuit against a $1 billion 401(k) plan. I’m not going to cite the particulars and I’m not going to opine because a...more

Mintz - Employment Viewpoints

The Department of Labor’s 2016 Final Fiduciary and Conflict of Interest Regulations: The Principal Transactions Exemption

Mintz - Employment Viewpoints on

This post continues our examination of the Department of Labor’s suite of final fiduciary and conflict of interest regulations. Our prior posts discussed the newly expanded definition of “investment advice fiduciary” and the...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Advisors Advantage - June 2016

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

How to Communicate and Understand Retirement Plan Sponsors. There is a method to it. Being a retirement plan provider isn't just about selling services, it's really about selling yourself and you can't sell yourself...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

You can say no

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

I always believe that regardless of whether it’s business or in regular day-to-day life, that you can’t be everything for everybody. Being honest with that is only half the battle. A lot of times, I met folks who are...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Advisors Advantage - April 2016

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

The Struggles Of Being A Retirement Plan Provider And How To Manage It. What you have to deal with. Being a retirement plan provider is like any other business in the sense that it has to be managed in a way...more

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