Borzi Investment Advice

October 2009 TEXPERS OUTLOOK
Phyllis C. Borzi, assistant secretary of the Em-ployee Benefits Security Administration, a unit of the makes it easier for investment advisers to provide advice to 401(k) participants as long as the advisers’ fees are no ... Fetch This Document

TESTIMONY OF PHYLLIS C. BORZI ASSISTANT SECRETARY OF LABOR ...
C. Borzi, the Assistant Secretary of Labor for the Employee Benefits Security Administration (EBSA). I am proud to represent the Department, EBSA, and its Investment Advice . Many workers need help in managing their plan investments. ... Retrieve Full Source

Scott Boras - Wikipedia, The Free Encyclopedia
Three lawyers, five personal trainers, an investment team (although Boras' firm does not provide investment services for clients), The contract vindicated Boras's advice; at the prompting of a different agent, ... Read Article

Under the law,” said Phyllis C. Borzi, assistant secretary of labor for EBSA. This proposed rule from the Department of Labor reinforces the fact that advisors to tax or investment advice in any manner. Intermountain ... Retrieve Full Source

ERISA REFORM: DESIGNING A RETIREMENT PLAN COMPLIANCE PROGRAM ...
As part of the DOL’s recent settlement with Morgan Keegan, Phyllis Borzi, the If you accept a fee to give investment advice to a retirement plan, you are a fiduciary and must therefore act solely in the best interests of the participants in that plan.” ... Visit Document

Supporting Retirement For American Families
The Honorable Phyllis C. Borzi Assistant Secretary of Labor Supporting Retirement for American Families IRA marketplace for investment advice •Similar protections for employers, especially small employers Conclusion . Title: U.S. Department of Labor ... Access This Document

Introduction To The Third Edition: Filling In The Gaps: ERISA ...
1 From 1979 to 1995, Phyllis C. Borzi served as the Pension and Employee Benefit Counsel for the U.S. receive, about the investment advice that participants are provided both through their employer and from individual financial advisors, and about the potential ... Doc Retrieval

60156 Federal Register /Vol. 74, No. 223/Friday, November 20 ...
Investment advice can reduce such errors and thereby reap substantial financial benefit. The Department estimated that the PPA statutory Phyllis C. Borzi, Assistant Secretary, Employee Benefits Security Administration, Department of Labor. ... Access Content

February 1, 2011 Washington, DC 20210
Phyllis C. Borzi Assistant Secretary Employee Benefits Security Administration U.S. Department of Labor 200 Constitution Ave., NW under which a person is considered to be a “Fiduciary” by reason of giving investment advice to an employee benefit plan or a plan’s participants. ... Fetch Content

Raymond James 401(k) Monthly Newsletter
Investment advice about securities to retail investors. Source: SEC. ----- EBSA Regulatory Agenda Focuses Phyllis C. Borzi said the Agency will focus on its fee transparency initiatives. Source: Planadviser.com. ----- Links are being provided for ... Return Doc

RETIREMENT LEGAL AND COMPLIANCE UPDATE
Put very simply, the liability for investment- related Phyllis Borzi was con rmed on July 10, 2009, as assistant secretary of the Department of Labor s (DOL) Employee speci c legal, tax or other professional advice. ... View Document

VIA ELECTRONIC MAIL
Secretary Phyllis Borzi provided an update on the Department’s efforts to the Department requesting detailed data on every investment, every investor, and every recommendation in every context (IRAs, plans, advice of the financial advisor). ... Retrieve Document

Employee Benefit Plans Accounting, Auditing, And Regulatory ...
Phyllis C. Borzi, Assistant Secretary of Labor, U.S. Department of Labor (EBSA), Washington, DC investment advice and target date funds) • Pension funding relief/PBGC issues 9:30 am - 10:15 am General Session 2 Accounting & Auditing Update A, AU ... Access Doc

When: WP&BC And ASPPA Present The Western Benefits Conference ...
Participant investment advice Partial plan termination Going beyond initial core 401(k) investments Welfare benefits design, funding and regulation DC plan conversions Phyllis C. Borzi, Assistant Secretary, EBSA, US Department of Labor ... View Doc

HOME NEWS & OPINION PRINT EDITION ONLINE EDITION NEWSLETTERS ...
Assistant Labor Secretary Phyllis Borzi said today in a conference call discussing the proposed rules. The proposed regulations will make it more difficult for advisers affiliated with broker- expand American’s access to investment advice.” ... Visit Document

MB-4 Developments In Savings And Retirement Plans
Phyllis Borzi U.S. Department of Labor James Fleckner Goodwin Procter LLP Peter Haller Credit Suisse William Ryan Morgan Stanley. NOT Personalized Investment Advice Personalized Investment Advice Account type: RETAIL CUSTOMER Suitability std * (for ... Return Document

EBSA Response To Draft Report - Office Of Inspector General
PHYLLIS C. BORZI ;\,v;, t~.' Assistant Secretary for EmplOyee B~~er.ts Security EBSA Response to orG Perfonnance Audit Draft Audit Report Number 09·11·001-12·121 become fiduciaries by reason of providing investment advice for a fee. ... Content Retrieval

Stock Exchange - Wikipedia, The Free Encyclopedia
And de la Vega offered advice to his readers on such topics as the unpredictability of market shifts and the importance of patience in investment. Creating investment opportunities for small investors. ... Read Article

The Outlook For The Fiduciary Standard In Washington
$163,000 (Assistant Secretary at the U. S. Department of Labor, Phyllis Borzi. 1 ) giving investment advice to an employee benefit plan or a plan’s participants The proposed rule takes account of significant changes in both the financial industry ... Get Doc

Borzi is the former chair of the American Bar Associations Joint erning investment advice to private-sector employee benefit plans and IRAs. Under ERISA and the tax code, any person paid directly or indirectly to provide invest- ... Fetch Here