Participant Investment Advice 2010

ERISA Section 404(c) In The New World Of Participant Disclosure
Vides advice and guidance on a broad range of ERISA matters (Oct. 20, 2010) (codified at 29 C.F.R. § 2550.404a-5)]. lowing the participant’s initial investment in that investment alternative) [see also U.S. Department ... View Document

2010 Sample Compliance Calendar
2010 . Sample Compliance Calendar . participant of his/her right to elect out of the automatic deferral as well as satisfying the qualified default investment rules is required. investment advice given after12/31/2006 ; affected participants . ... Document Retrieval

ERISA Exemption For Investment Advice: 2011 Final Regulations
Also permits the model to exclude investment options that a participant or beneficiary requests to be ex- 2010). with other disclosures required under securities or other laws, and that use of the model investment advice subject to the ERISA fiduciary rules, ... View Full Source

Cross-Selling Defined - Reish & Reicher | Attorneys At Law ...
Investment Advice Proposed October 2010: – Making recommendations as to the advisability of investing in, participant advice should be provided by third-party. No; producer’s role is limited to investment education and standardized ... Read Here

Department Of Labor Proposes Expanded Definition Of Fiduciary ...
Investment Advice to ERISA Plans and IRAs a plan fiduciary or a plan participant or beneficiary: 1. advice, do not constitute legal opinion and should not be regarded as a substitute for legal advice. © 2010 Pillsbury Winthrop Shaw Pittman LLP. All Rights Reserved. ... Retrieve Content

Can Advisor Provided Plan Fiduciary And Participant ...
Reason that Advisors and firms provide participant investment advice. Now, the DOL has created some uncertainty as to whether rendering investment in March 2010, Advisors will only be able to offer investment advice in one of two ways: ... View Doc

Msamsa@polsinelli.com MARY K. SAMSA
©2010 Polsinelli Shughart PC Investment Advice – Participant and Beneficiaries (proposed) • Proposed regulations on implementation of this rule Investment Advice – Participant and Beneficiaries (proposed) • Proposed regulations (continued) ... Access This Document

Avoid Fiduciary Mistakes And Guide - Premier Conferences For ...
Ctober 5–8, 2010 Who Will Attend? • Company officers with plan fiduciary responsibilities • Human resource directors, managers and specialists disclosure and participant investment advice like never before. The volatility in today’s financial markets ... Fetch Full Source

Oh Yeah - What Is Scratch My Progress? - YouTube
PR advice, take part in songwriter workshops and will record a track each. "I saw it as an investment in us, 58:42 Google I/O 2010 - HTML5 status update by GoogleDevelopers 14,067 views; ... View Video

Who We Are Investment Advice Should Include Recommendations ...
December 17, 2010 . Investment Advice Should Include Recommendations to Take Plan Distributions . Any investment advice provided after the participant takes a distribution would be governed by common law principles of fiduciary duty and individual ... Read More

ERISA Compliance And New Labor Department Regulations
2010: Participant Advice Re-proposed * Target Date Funds Qualified Default Investment Alternatives Proposal. 2 Factors Leading to Increased DOL Activity – Providing investment advice and “cross-selling” additional products, services ... Fetch Full Source

Day Trader AMZN Intraday Opening Bell Long And Short - YouTube
Stock market analysis" "investment education" "stock market trading" "trading video" "trading school" "stock lesson" "investing in stock market" "stock market nasdaq" "stock market advice" "technical stock market" ""technical analysis financial Participant by daytradetowin 964 ... View Video

International Renewable Energy Agency - Wikipedia, The Free ...
The fourth session of the Preparatory Commission on 24–25 October 2010 in Abu Dhabi appointed Kenyan representative Adnan Amin, IRENA provides advice and support to governments on renewable energy policy, capacity building, and technology transfer. ... Read Article

Conservation Of Choice: Simplifying Investment Options To ...
April 2010 Contributors: Tony Arnerich; Howard Biggs; Vincent Galindo; facts on the level of participant investment knowledge: [of participants] would like an expert to provide them with investment advice, ... Retrieve Document

Investment Management/ ERISA Fiduciary Alert - K&L Gates
Statutory exemption for participant advice added to ERISA and the Internal Revenue Code as part of the Pension Protection Act of 2006 (“PPA”). March 2010 3 Investment Management/ERISA Fiduciary Alert • provide required disclosures. ... Read Full Source

TITLE
Participant Investment Advice vs. Investment Education From Nationwide® Advanced Sales: The Specialists For broker dealer use only. 2/8/2010 8:06:07 PM Document presentation format: On-screen Show Company: Nationwide Insurance Other titles: ... Doc Viewer

Robert G. Allen: Guru Or Sham? - Home Buying And Selling ...
Out of the hundreds of seminar speakers and investment gurus I have met in my life, It just means I never got around to it, and he wasn't a participant in the seminar crowd that competed against him in the 1970s and 1980s. 2010 at 3:17 pm ... Read Article

October 20, 2010 - United States Department Of Labor
October 20, 2010 Part IV Department of Labor Employee Benefits Security fees for investment advice; front or back-end loads or sales charges; redemption fees; Participant Investment Glossary. h. Annuity Options ... Visit Document

PARTICIPANT ADVICE RESEARCH BACK IN THE SADDLE
Date: October 17, 2010 . Subject: PARTICIPANT ADVICE RESEARCH . BACK IN THE SADDLE . Consistent with the CFDD’s 2011 Advisor Conference theme, investment advice could have a major impact on those who have not previously acknowledged ... View Full Source

THE DEBATE CONTINUES: BROKER- DEALER FIDUCIARY DUTIES
- Interpretive bulletin relating to 401(k) participant investment education. • August 17, 2006 – Pension Protection Act (PPA) investment advice exemption • July 21, 2010 – Dodd-Frank Wall Street Reform and Consumer ... Visit Document

ArcelorMittal Announces Proposed Combined Offering Of Common Stock And Mandatorily Convertible Subordinated Notes ...
  NOT FOR RELEASE, PUBLICATION OR DISTRIBUTION DIRECTLY OR INDIRECTLY IN OR INTO CANADA, AUSTRALIA, JAPAN OR ANY OTHER JURISDICTION IN WHICH TO DO SO WOULD BE PROHIBITED BY APPLICABLE LAW Luxembourg, 9 ... Read News

2012 Sample Compliance Calendar
2010 plans 1/17 IRS 408(b)(2) disclosure to Plan Sponsors Plan expenses paid from plan assets must be reasonable. ERISA 408(b participant Investment advice The Pension Protection Act permits plan sponsors to offer investment ... Visit Document

DOL Issues Final participant Fee Disclosure Rules For Defined ...
Important information Plan administration and operation December 2010 DOL issues final participant fee disclosure rules for defined fees for investment advice, fees for brokerage windows, commissions, front or back-end loads or sales charges, redemption fees, ... Read Here