Proposed Investment Advice Regulation

Attn: Investment Advice Regulations Room N-5655 U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, D.C. 20210 Re: Proposed Rules on Investment Advice for Participants, Beneficiaries 12 Proposed Regulation at §2550.408g-1(e)(1)(i) and (ii). ... Read Document

Summary Of Investment Advice Regulations
1 March 1, 2010 Summary of Investment Advice Regulations Courtesy of Davis & Harman, LLP On February 26, the Department of Labor released proposed regulations on the ... Fetch Document

The DOL’s Proposed 408(b)(2) Regulation: Impact On Broker ...
Proposed regulation, see our fi rst bulletin dated February 4, 2008, at the link above.) defi ned investment advice and thus to function as investment adviser fi duciaries. However, once the regulation becomes fi nal, ... Content Retrieval

ERISA Exemption For Investment Advice: 2011 Final Regulations
ERISA Exemption for Investment Advice: 2011 Final Regulations . The U.S. Department of Labor (“DOL”) on October 25, 2011 issued a final rule implement- consistent with the 2010 proposed regulation and the DOL Field Advice Bulletin 2007-1, ... Read Here

The proposed regulation would rewrite the five-factor test for “investment advice” that was the principal The second part of the proposed two-part “investment advice” test sets forthfour alternative conditions, ... Read Full Source

BenefitsBOS-#1442295-v3-Alert ERISA - DOL Expands Definition ...
Investment Advice The U.S. Department of Labor (“DOL”) recently released a proposed regulation that comments about how the proposed regulation should apply to advice or recommendations concerning distributions and rollovers may generate ... Retrieve Doc

DOL Proposes Rules On Investment Advice For 401(k) Plans And IRAs
Proposed regulation, that even though an affiliate of the fiduciary adviser may receive fees that vary depending on the investment options selected, investment advice arrangement by an independent plan fiduciary or IRA beneficiary (with ... Read More

2010 JCEB DOL QA 10-28-2010
The preamble to the re-proposed investment advice regulation, in response to comments on the previous final regulation, “clarifies” that, under a fee-leveling arrangement, an affiliate of a fiduciary adviser is not itself subject to the contingent-fee prohibition, but ... Fetch Doc

Regulatory Brief: DOL Issues Final Participant advice regulations
Investment advice. The Final Regulation strongly underscores the DOL’s recognition of the benefits of participant advice programs of participant advice programs. 2008 proposed regulation (Bush) > 2009 final regulation (Bush) > ... Document Viewer

Department Of Labor Proposes Expanded Definition Of Fiduciary ...
1 The proposed regulation also provides that it applies to the parallel definition of a fiduciary for purposes of the prohibited investment advice activities that confer fiduciary status under ERISA's "functional tests." Under the ... Fetch Document

Proposed ERISA Regulation Would Expand Persons Considered ...
Proposed ERISA Regulation Would Expand Persons Considered Fiduciaries As discussed in our client alert dated November 5, 2010 provides investment advice pursuant to an agreement, arrangement, or understanding (written or not) ... Visit Document

SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 275 RIN 3235 ...
Office of Investment Adviser Regulation, Division of Investment Management, definition of an investment adviser. The proposed rule would permit the family office to . See. investment advice to a person that may have a long employment relationship with the ... Read Here

Government Resources Regarding Money And Business
President Obama proposed his administration's plan for making small business loans easier to get, first-hand advice on financing, Investors should not let their investment decisions be “overly swayed” by who wins, ... Read Article

US Government Info Sitemap - Page 13 2013-01-02
Bush’s Proposed Patriot Act Expansion Draws to the 6-day Small Business Financing Email Course. Each day you will receive an email with helpful -- and factual -- advice about how to get money Investors should not let their investment decisions be “overly swayed” by who ... Read Article

YouTube - Broadcast Yourself.
Share your videos with friends, family, and the world ... View Video

65263 Federal Register /Vol. 75, No. 204/Friday, October 22 ...
Investment advice under the regulation.6 The current regulation has not been updated since its promulgation in 1975. Since that time, however, the retirement plan community has changed The proposed regulation also should help plans by giving them a ... Read More

Financial regulation In Australia - Wikipedia, The Free ...
ASIC has responsibility for market integrity and consumer protection and the regulation of investment banks and finance companies. the provision of advice; Any proposed foreign takeover or acquisition of an Australian bank will be considered on a case-by-case basis and judged on its merits. ... Read Article

DEPARTMENT OF LABOR
Into subject line: 2010 Investment Advice Proposed Rule) or by using the Federal eRulemaking this proposed regulation relies primarily on safeguards against bias that might otherwise arise from advisers’ conflicts of interest. ... Doc Retrieval

YouTube - Broadcast Yourself.
The debate is about THE PEOPLE gaining insight on proposed reforms or policies by reflecting on the fallacies or strengths that they as THE PEOPLE can remove a lot of investment taxes and offer tax relief for those who (like him) have been using tax shelters. zebbedi in reply to ... View Video

First In A Series The DOL’s Proposed 408(b)(2) Regulation ...
Contract for investment advice or in a separate contract. (As a word of caution, that arrangement may present other, non-exempted, prohibited transaction issues.) The proposed regulation requires a service provider to disclose “all ... Fetch Here

Dodd–Frank Wall Street Reform And Consumer Protection Act ...
The law was initially proposed by the Obama Administration in June 2009, and limited product range would not violate the duty and broker-dealers would not have a continuing duty after the investment advice is given. Subtitle For regulation purposes, ... Read Article

Employee Benefits Security Administration Attn: Definition Of ...
Investment advice and discretionary investment management services to plan proposed regulation intends to accommodate financial product sales people in . 5 selling their products and services, then they are not offering "advice" in the ... Read Full Source

YouTube - Broadcast Yourself.
Sounds like this guy is asking for a union and more government regulation on his company to keep them from treating him like a It was republican members of congress who said they would vote 'no' to everything the president proposed. NateGartonMusic in reply to Tom L (Show the comment) 14 ... View Video

Small Business Add Value For Employees Act
DOL Releases New Proposed Investment Advice Regulation The Pension Protection Act of 2006 created a ne w statutory exemption to the ERISA prohibited transaction rules for investment ad vice in participant-directed defined contribution plans and IRA ... Access This Document

Liability of the advisors who deliver the investment advice. The proposed regulation are the first such changes in almost 35 years and could change the relationship of individuals and entities with plan sponsors subject to Title 1 of ERISA ... Access Full Source

Department Of Labor Proposes New Rules On 401(k) Plan ...
On 401(k) Plan Investment Advice by John J. Battaglia On February 26, 2010, the Department of Labor (DOL) released new proposed ies that want to provide such advice, however, the proposed regulation allows “eligible investment advice” ... Fetch Content