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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

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Creative Planning buys Mesirow Team

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

Registered investment advisor (RIA) Creative Planning announced the purchase of Mesirow’s corporate retirement advisory services team....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

A New Opportunity for 529 Account Beneficiaries – Tax-Fee Rollovers to Roth IRAs

Faegre Drinker Biddle & Reath LLP on

Beneficiaries of qualified tuition programs under Section 529 of the Internal Revenue Code (“529 accounts”) will have a new opportunity starting January 1, 2024. Under SECURE Act 2.0 (the “Act”), 529 account beneficiaries...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

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #91: Rollover Recommendations to Participants in Government Plans

Faegre Drinker Biddle & Reath LLP on

The DOL’s expanded definition of fiduciary advice is described in the preamble to PTE 2020-02. The PTE then provides relief for conflicted non-discretionary recommendations (for example, rollover recommendations), if its...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.

DOL published Final Fiduciary Rule

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

The Department of Labor (DOL) issued their final new Fiduciary Rule on Wednesday, April 6th that will have far reaching changes to the retirement plan industry. Aside from some paperwork, disclosure, and effective date...more

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