Wednesday, April 24, 2013

Dol Regulations Investment Advice

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DOL Releases Final Disclosure Regulations For Participant ...
DOL Releases Final Disclosure Regulations for Participant-Directed 2010 On October 14, the Department of Labor (DOL) released final regulations that will impose new (QDROs), loans, and investment advice services.The participant ... Access Full Source

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New DOL Guidance On Providing Investment Advice To 401(k ...
New DOL Guidance on Providing Investment Advice to 401(k) Plan Participants Sponsored by Thompson Publishing Group April 11, 2007 – DOL will issue regulations later this year – Proposed regulations create safe harbor for • Balanced funds ... Retrieve Document

The Fiduciary Trend: The Combined Effects Of The Proposed ...
A discussion of the DOL's new proposed regulation on fiduciary investment advice and the DOL's 408(b)(2) regulation. How the DOL's 408(b)2 Regulations will impact Plan Sponsors & 401(k) Participants by BizTipsVideos 310 views; ... View Video

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3:39 Watch Later Error Biz Tips: How the DOL's 408(b)2 Regulations will impact Plan Sponsors & 401(k) Participants by BizTipsVideos 310 views; 6:00 Watch Later Error Investment Advice Regulations - DeWitt Ross & Stevens by dewittrossstevens 24 views; ... View Video

Small Business Add Value For Employees Act
Go to Section III of this report for a discussion of the new DOL proposed investment advice regulations. EBRI 2010 Retirement Confidence Survey Report Released The Employee Benefit Research Institute (EBRI) recently released its report on the findings from ... Read Here

Inspector General - Wikipedia, The Free Encyclopedia
Charged with a nationwide mission to inspect some specific services and provide government officials with advice regarding that Evidence of the offices' return on investment to taxpayers can be seen through their semi Labor, Department of (DOL-OIG) National Aeronautics and Space ... Read Article

Participant Fee Disclosure DOL Proposed Regulations
DOL Proposed Regulations Ted Rice Kelly, Hannaford & Battles P.A. Minneapolis, MN Paul Dadlez Anchor Wealth Management Eagan, MN September 10, 2008. 2 Overview – QDRO, loan or investment advice expenses for example. 24 DOL Proposed Regulation ... Get Document

Stay Current DOL Proposes New ERISA Rule To Expand The ...
Delineates when a person becomes a fiduciary by reason of providing “investment advice” for a fee or as described in existing DOL regulations (see 29 CFR 2509.96-1(d)), including plan information, general financial and investment information, asset ... Read Here

Regulatory Fee Disclosures Frequently Asked Questions ...
Refer to the U.S. Department of Labor website for more information. www.dol.gov /ebsa. accounting, tax or investment advice. As the record keeper for your What is The Hartford’s role with regard to the 408(b)(2) regulations? The Hartford will prepare and distribute 408(b ... Retrieve Document

Managing ERISA Fiduciary Risk A Sea Of Change
New DOL Investment Advice Regulations Impact Will Investment Advisory Firms and Broker-Dealers (BDs) •allow Advisors to act as fiduciaries and offer investment advice to participants and IRA owners? •develop level fee IRAs? ... Fetch Full Source

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Stay Current Overview Of Recent Department Of Labor ERISA ...
Overview of Recent Department of Labor ERISA Service Provider Fee Disclosure Initiatives of participant loan expenses and investment advice services). In conjunction with the proposed regulations, the DOL is proposing a class exemption to ... Content Retrieval

Fiduciary - Wikipedia, The Free Encyclopedia
Advice or protection is sought in some matter. A Hicks, ‘The Trustee Act 2000 and the Modern Meaning of 'Investment’ (2001) 15 (4) Trust Law International 203; The U.S. Department of Labor: Employee Benefits Security Administration. ... Read Article

ERISA LITIGATIOn ADvISORy - Alston & Bird LLP
DOL Proposes Regulations Governing Fee Disclosures to Participants On July 23, 2008, the Department of Labor fees for investment advice, etc.). § 2550.404a-5(c)(3). On a quarterly basis, fiduciaries must provide to individual participants: ... Fetch Full Source

65263 Federal Register /Vol. 75, No. 204/Friday, October 22 ...
DEPARTMENT OF LABOR Employee Benefits Security investment advice to an employee benefit plan or a plan’s participants. The www.regulations.gov and http:// www.dol.gov/ebsa and at the Public Disclosure Room, N–1513, Employee ... Read Here

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DOL Field Assistance Bulletin 2007-1 - Investment Advice To ...
Receive access to professional investment advice. The final DOL rule is expected out this Fall. Director of Regulations and Interpretations Subject: Statutory Exemption For Investment Advice Background Section 3(21)(A)(ii) ... Fetch Content

6 Tips For Navigating The Maze Of Business Regulations
Making sure your company is in compliance with all proscribed business regulations is neither an enjoyable or easy task, but certain highly regulated industries such as drug manufacturing, investment advice, and selling alcohol, DOL; Related Articles. Business Licenses and Permits: ... Read Article

The New Retirement Plan Marketplace - A Broker-Dealer Guide ...
Opportunities presented by the new DOL regulations, it should be easier to narrow the in the view of the DOL, constitute ‘‘investment advice’’ under the definition of ‘‘fiduciary’’ in ERISA section 3(21)(A)(ii) ... Document Retrieval

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The DOL’s 408(B)(2) Regulation: Impact On Registered ...
The DOL’s 408(B)(2) Regulation: Impact On Registered Investment imagine that a state court might look to ERISA and the regulations under ERISA to determine compliance with the state law. > If they provide “direct” investment advice (discretionary or nondiscretionary) as ... Fetch Here

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Or eligible for, contractual obligations, government regulations, laws, or licenses and permits. U.S. Department of Labor, Occupational Outlook Handbook, 2010-11 Edition, Career Advice; Career Planning. About.com; Careers; Career Planning; Careers; Careers A to Z; ... Read Article

FINAL DOL REGULATIONS REQUIRE COMPENSATION DISCLOSURE BY ...
FINAL DOL REGULATIONS REQUIRE The Department of Labor has issued final regulations under Section 408(b)(2) of the Employee Retirement Income Security Act of 1974, as amended (“ERISA”). services other than fiduciary investment advice. ... View This Document

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