Analysis Investment Advice Retirement Plan Participants

Fiduciary Focus: Defined Contribution Plan Investment Policy ...
Participants invest the way they want to achieve their specific retirement goals. The Plan helps participants achieve this objective by: Analysis Plan Fiduciaries will analyze the demographic and opinions provided may not be relied upon as investment advice and may change without ... Doc Viewer

RETIREMENT PLAN SERVICES
Agenda, just unbiased advice to plan sponsors. Plan participants receive the investment support they need, from selecting and mutual funds offered through Brinker Capital Retirement Plan Services involve investment risk and ... Retrieve Content

Retirement Plan Consulting Group - Retirement, Wealth ...
Retirement Plan Consulting Group. 1 | with the investment advice he was getting, so he began learning about investing and plan sponsors, participants and the plan’s Advisor. Our Advisors are financial specialists who work directly ... Fetch Document

Patriot Act - Wikipedia, The Free Encyclopedia
The DNA Analysis Backlog Elimination Act was amended to include terrorism or crimes of violence in the list of qualifying Federal offenses. A Concept Plan to Enhance the Intelligence Community's Foreign Language Capabilities, or to an attorney for legal advice. ... Read Article

Personalized investment advice - Mercer: Outsourcing - A ...
Personalized investment advice Helping your participants invest for their retirement goals. Personalized investment advice: Sample analysis carefully before making any investment decisions. RETIREMENT PLAN SERVICES . 222897 3/05 ... Doc Retrieval

PARTICIPANT LEVEL ADVICE: CURRENT LEGAL AND REGULATORY ...
Transaction exemptions that allow any adviser to provide conflicted investment advice to plan participants, stated that the same analysis and conclusions would apply under ERISA if the IRAs were assets rolled over from a retirement plan to an IRA. ... Access Doc

Health Care Bill Page 425 - The Truth - Urban Legends
• Impartial analysis of page 425 of the health care bill by St and the heavy investment these people make, just to make certain there is health-care available to maybe we can share their retirement plan too. IT’s a hell of a deal compared to what we get and we’re ... Read Article

Conservation Of Choice: Simplifying Investment Options To ...
Studies show that retirement plan participants tend to undersave, misunderstand their investment options, “In our last analysis, we found that between 1995 and 2006, DB would like an expert to provide them with investment advice, ... Read Here

Overview Of Services - Epstein Financial
Investment Advice Department Best in Class Retirement Plan Plan Participants Plan Fiduciaries Plan Consultant Communication Specialists Resources. 5 Investment Analysis Reports Investment Policy Statement Quarterly Market Summary ENHANCE ... Document Retrieval

Professional, Personalized, Ongoing investment advice For ...
Where do your participants turn for retirement planning and investment advice? of education and advice services. Plan participants opting into the Program will receive comprehensive advice services, Sensitivity analysis Step 3: Analyze investment options Investment universe ... Fetch Full Source

Challenges & Risks Facing Plan Sponsors
Sixteenth employee benefits survey analysis prepared by BPS&M. Retirement Fitness Survey, 68% of the retirement plan participants surveyed were not confident that investment advice. Table A lists a number of ... Retrieve Full Source

A Fiduciary’s Advisory Services Guide - Financial Engines ...
Financial Engines’ printed Retirement Evaluations provide an analysis of how well a provide investment advice to plan participants that can be implemented within the limits of a given plan’s available options. 9 of 18 ... Doc Retrieval

Pension Protection Act: DOL Interprets Participant Investment ...
Nearing retirement age is appropriate for the stage of their advice provider, including an analysis of the extent to requirement “only if that affi liate is providing investment advice to plan participants and benefi ciaries.” ... Return Doc

Wikipedia:Featured Article Candidates/Featured Log/September ...
You should really assume good faith and take constructive advice! I do not plan to include any more and will remove an excess ones that may get added. I did a sweep of the article and found one more magazine that needed italics. ... Read Article

Wikipedia:WikiProject Economics/To Be Tagged - Wikipedia, The ...
Benchmark-driven investment strategy; Benders' decomposition; Benecaid; Benefactor; Content of a business plan; Context analysis; Contingent cooperator; Contingent payment sales; Continuity Theory; Employees Retirement System of Texas; Employer branding; Employment-to-population ratio; ... Read Article

YouTube - Broadcast Yourself.
You think this is bad advice? portfolio of less then $100,000. we dont even charge a monetary fee to do a financial needs analysis. if we are such a is a great product when used properly - to insure temporary needs like lost income to retirement, buy/sells, secure a ... View Video

Human Resources Sitemap - Page 1 2013-01-01
She offers timely advice about social media, blogging, Forming these alliances takes time and energy, but they are worth the investment for the payback they provide. Your Human Resources’ department business plan depends on your needs analysis of your own workplace. ... Read Article

Employer-Sponsored Investment Advice
Analysis of surveys on HR-related topics. provide investment advice to their participants are at least in the initial stages of considering it. their retirement plan investment decisions for them? Yes (skip next question) No ... View Full Source

Part 2A Of Form ADV: Firm Brochure
Online Advice . Plan participants who have entered into, Investment analysis FEA offers plan participants who use Online Advice investment analysis of typically to provide a single investment vehicle for the retirement plan participant to select. ... Fetch Full Source

Human Resources Sitemap - Page 10 2013-01-03
This ice breaker leads the participants right into the content of your meeting or training class. Are you fed up with the return on investment you experience with your current performance appraisal? Here, in your words, is your best advice about change management. ... Read Article

About John Hancock 401(k) Fund Share Classes - YouTube
Investment advice; John Hancock; License: Standard YouTube License 0 likes, 9:21 Watch Later Error New Fee Disclosure Regulations For Retirement Plan Participants by Gooman25 70 views; 1:21 Watch Later Error Quantitative Investment Analysis by Gooman25 208 views; ... View Video

Investment Advisory Service - Hughes Financial Group, Inc ...
Making investment selections in a retirement plan is often a time-consuming and challenging investment recommendations that are based upon an analysis of current market conditions What is your approach to offering investment advice to 401k plan participants? ... Fetch Document

An Analysis Of Investment Advice To Retirement Plan ...
An Analysis of Investment Advice to Retirement Plan Participants Zvi Bodie An Analysis of Investment Advice to Retirement Plan Participants By Zvi Bodie Around the world the primary responsibility for providing an adequate retirement ... Fetch This Document

Www.dol.gov
Regarding its proposed rule on investment advice for participants and beneficiaries. Wells Fargo includes Wells Fargo Retirement fourth in IRA assets and seventh in retirement plan prudence of the program and the suitability for its participants. This analysis must be done ... View This Document

Dol Final Investment Advice

401(k) Fees Are Transparent, But Are They Reasonable -7 FINAL ...
Department of Labor • Federal Register, February 3, 2012, Final 408(b)(2) 2 DOL.“Final Rule to Increase Workers' Access to High Quality Investment Advice.” Web. 2011. 3 Salisbury, Ian. “The Big Business of 401(k) ... Read Here

ERISA Section 408(b)(2) Fee Disclosures: Impact On Broker-Dealers
DOL’s current definition for investment advice is based on 5-factor test: Advice on value or advisability of Strategy and Fiduciary Pointers How Can Inv. Advice Be Conflicted? DOL Final Rules for Participant Advice Fee-Leveling Arrangement Computer Model Arrangement 1. Fee Disclosures ... View Full Source

Small Business Add Value For Employees Act
Department of Labor (DOL), responsible for implementing the PPA statutory prohibited transaction exemption, estimates that regulatory impact of the exemption will affect 16,000 the DOL finalized its proposed investment advice rule. The final rule included a ... Read Full Source

EBEC (Employee Benefits / Executive Compensation) Law Update
FEE DISCLOSURE OR INVESTMENT ADVICE GUIDANCE Recent guidance The Department of Labor has issued regulations – proposed in 2008 13 DOL Reg. § 2550.408g–2. 41 Pending final regulations the statutory exemption for investment advice provided by the PPA is still in effect ... View Document

Fiduciary Adviser Audit Requirements
Need not wait for final regulations and can move forward to take advantage of the fiduciary protection and expand their business model. The larger universe The DOL concluded that investment advice is permitted where the investment funds pay ... Retrieve Content

DOL Issues final Service Provider Fee Disclosure Rules
DOL issues final service provider fee disclosure rules investment advice (plan sponsor or participant level), legal, recordkeeping, securities, or other investment brokerage, third party administration or valuation services provided to the plan. ... Retrieve Doc

DOL Issues final Participant Fee Disclosure Rules For Defined ...
DOL issues final participant fee disclosure rules for defined contribution plans fees for investment advice, fees for brokerage windows, commissions, front or back-end loads or sales charges, redemption fees, transfer fees and similar ... Retrieve Document

Managing ERISA Fiduciary Risk A Sea Of Change
New DOL Investment Advice Regulations Impact •The final rule –Became effective on December 27, 2011: –is separate from the definition of Fiduciary –applies to both retirement plans and IRAs. New DOL Investment Advice Regulations Impact ... Fetch Here

The DOL’s 408(B)(2) Regulation: Impact On Registered ...
This article examines statements made by the Department of Labor (DOL) regarding > If they provide “direct” investment advice (discretionary or nondiscretionary) as The final requirement, regarding termination payments and prepaid amounts, ... Access Doc

Fiduciary Investment Advice For Participants
Fiduciary Investment Advice for Participants By Fred Reish, Bruce Ashton and Gary Ammon (DOL) recently issued a final regulation that more fully describes the safeguards. As a result, plan sponsors, and their plan committees, now have more ... Fetch Here

Participant Fee Disclosure DOL Proposed Regulations
• DOL Final Regs. issued in Nov. 2007 • Expanded Service Provider Fee Information • Participant Advice • DOL Prop. Regs. issued in Aug. 2008. 7 Other Regulatory Action – QDRO, loan or investment advice expenses for example. 24 ... Read Document

ERISA Section 408(b)(2) Fee Disclosures: Impact On Broker-Dealers
Fee disclosures for plan sponsors Participant-level fee disclosures Participant investment advice Proposed Rulemaking DOL Interaction with White House Working with White House’s Middle Class DOL Final Rules for Participant Advice Fee-Leveling Arrangement Computer Model Arrangement ... View Full Source

YouTube - Broadcast Yourself.
BE READY TO DOCUMENT OR RECORD ANY WRONG DOING IN YOUR AREA SO THAT U CAN REPORT TO DOL WHEN NEEDED. xoliez in reply to xoliez (Show the comment) 2 years ago 2 Reply . Guys Click on number of views to see the statistics. Views are declining ... View Video

Petition: No Social Security For Illegal Immigrants
And to work without fear of a DOL Wage Hour Inspector picking them up and charging the employer with working illegals. just like I expect a return on an investment in a foreign bank or stock. to become final, ... Read Article

Actuarial Consultants, Inc. - What Plan Sponsors Need To Know ...
On February 2nd the DOL issued the long awaited Final Regulations on two ground breaking disclosure (so they can make informed decisions on the various fees and costs affecting their investment choices). The Combined Effects of the Proposed Advice Regulation and 408(b ... View Video

R. Gregory Barton - Vanguard - Mutual Funds, IRAs, ETFs, 401 ...
U.S. Department of Labor 200 Constitution Avenue, NW Washington, D.C. 20210 RE: Final Investment Advice Rule Dear Sir or Madam: Vanguard appreciates the opportunity to submit these comments on the Department’s final regulation regarding ... View Full Source

Why Advisors Will Benefit And Add Value Using A 3(38 ...
Investment advice and non‐fiduciary education is, therefore, fundamental for The DOL’s Final Rule under ERISA 408(b)(2) With respect to investment education, Department of Labor Interpretative Bulletin ... Read Here

DOL Issues Final Regulations On Qualified Default Investments
Included as a safe harbor default investment. DOL Final Regulations The final regulations clarify the availability and scope of fiduciary relief, It does not offer legal advice or purport to treat all the issues surrounding any one topic. Title: Masthead ... Retrieve Full Source

What The New 408b-2 Rule Means Cover2
In the interim final rule, DOL takes a new direction by saying that it’s not the he or she will serve as a fiduciary even knowing that he or she will be providing investment advice that meets the U.S. Department of Labor Employee Benefits Security Administration ... Access Doc

User:T1980/List Of Deus Ex Machina Examples - Wikipedia, The ...
The final issue of Grant Morrison's run on Animal Man was titled Deus Ex Machina, Dol and Subtle, While pitching to a powerful investment banker she ends up making out with him only to have his powerful socialite wife walk in on them. ... Read Article

Participant Level Investment Advice

DOL Releases Interim Guidance On Electronic Disclosure Of Fee ...
ERISA prohibited transaction exemptions for participant investment advice enacted in the Pension participant investment advice, level fee, computer model, SunAmerica, advice arrangement, fiduciary adviser, eligible investment expert, DOL, EBSA"; ... Document Viewer

DOL Proposes Rules On Investment Advice For 401(k) Plans And IRAs
Under the level-fee structure, exclusive approach for providing participant investment advice, overturning past DOL guidance.The result would be to impose considerable restrictions on the ability of firms to provide investment advice ... Access This Document

UPDATE: DOL PLAN-LEvEL AND PArTIcIPANT-LEvEL DIScLOSUrE ...
PArTIcIPANT-LEvEL DIScLOSUrE rEgULATIONS NOT FOr USE WITH PArTIcIPANTS INTrODUcTION windows, fees for investment advice services, etc. Change Notifications. If changes to any of the above-described individual expenses are scheduled ... Retrieve Doc

Investment Advice Guidance - CBIZ - Professional Business ...
Investment Advice Guidance The Department of Labor (DOL) has issued Field Assistance Bulletin (FAB) 2007-1 The PPA authorizes investment advice to be given on participant level. According to FAB 2007-1, a plan sponsor or fiduciary is responsible for the prudent selection and ... Access Doc

About Experts Sitemap - Group 1 - Page 31 2012-08-30
The company may be correct if this was a defined benfit pension plan and it only paid benefits when the participant reached a certain age and did not pay benefits if she died before that but not at the CPA level. investment choices, economic climate, ... Read Article

Asia-Pacific Economic Cooperation - Wikipedia, The Free ...
Has lobbied for the creation of a high-level task force to study was created by the APEC Economic Leaders in November 1995 with the aim of providing advice to the APEC Economic Leaders on ways cooperation, trade and investment in the Asia-Pacific region" established to ... Read Article

Regulatory Brief: DOL Issues Final participant advice Regulations
DOL issues final participant advice regulations Vanguard Strategic Retirement Consulting November 2011 The Department of Labor (DOL) recently investment theories. Level-fee exemption. The Final Regulation provides that, under the level-fee arrangement, ... View This Document

DOL Adopts Final Regulation On Exemption For Participant ...
1 DOL Adopts Final Regulation on Exemption for Participant-Level Investment Advice November 28, 2011 The U.S. Department of Labor (DOL) has adopted a final regulation to implement the statutory ... Fetch Here

Participants' Comments From Moscow International Property ...
Of professionals willing to give essential advice. events due to a high level of organization and competent materialization of a professionally developed concept. Its distinctive characteristics include cordiality and consideration for each participant, ... View Video

Fiduciary Investment Advice For Participants
Fiduciary Investment Advice for Participants regulation and the information provided by the adviser to make sure that the participant advice program fits within one of the two regulatory exemptions. which charges a level fee for its advice to participants. ... Get Doc

Cytta Completes Mobile Monitoring Technology Pilot Program And Begins Licensing Discussions
The President of Cytta Corp. , manufacturer of the CyttaConnect Open Source mobile monitoring technology, has issued the following update outlining the Company's future plans in anticipation of their upcoming ... Read News

DOL Issues Final Regulations On Participant Investment Advice
The following requirements apply to both fee-level and computer model investment advice arrangements. [ 4] Volume 34 | Issue 89 | November 18, 2011 Plan Fiduciary Authorization Required. DOL Issues Final Regulations on Participant Investment Advice Author: ... View Doc

Participant Disclosures: New Requirements
To participant level. How do we disclose? • Hand delivery in workplace • Periodic employer communications investment advice from unaffiliated adviser. Investment Advice • Failure to provide notice may result in fiduciary liability for advice ... Get Document

2012 Asia Pacific Regional Final: University Of Sydney - YouTube
Each student participant will be tested on their analytic, 19:30 CFA Level I Financial Statement Analysis Video Lecture by Mr. Arif Irfanullah by arifirfanullah 4,740 views; 3:16 Career Advice - Finance and Investment Banking by InnovateCV 19,792 views; ... View Video

PARTICIPANT LEVEL ADVICE: CURRENT LEGAL AND REGULATORY ...
PARTICIPANT LEVEL ADVICE: CURRENT LEGAL AND REGULATORY ENVIRONMENT fi360 NATIONAL CONFERENCE May 2009 by: Marcia S. Wagner, Esq. The Wagner Law Group investment advice to the plan sponsor or plan participants would need to proceed cautiously in ... Doc Retrieval

Effective Meetings Produce Results - Follow-up After The Meeting
Follow-up at the next scheduled meeting is never enough of an investment to ensure results. Have you ever sat in a follow-up meeting that consisted of each participant telling the group why they were unable to accomplish their Taking continuous improvement to another level, ... Read Article

Department Of Labor Proposes New Rules On 401(k) Plan ...
Or registered representative providing the advice met the level fee requirements, provision of the advice or the participant acting on the advice; dol; 401(k) plan investment advice; employee retirement income security act; erisa; new proposed regulations erisa; ... Doc Retrieval

ERISA Section 408(b)(2) Fee Disclosures: Impact On Broker-Dealers
Fee disclosures for plan sponsors Participant-level fee disclosures Participant investment advice Proposed Rulemaking DOL Interaction with White House Working with White House’s Middle Class Task Force Coordinated actions to improve Participant Investment Advice 3. 408(b)(2) Disclosures ... Access Doc

DOL Issues Final investment advice Rules - PRS Home Page
DOL issues final investment advice rules • Pays level fees to the investment adviser, participant or beneficiary, an investment option (such as employer securities or target date funds) may be excluded from the modeled advice; and ... Access This Document

Pension Protection Act: DOL Interprets Participant Investment ...
Compensation for giving plan or participant-level investment advice received by a fi duciary investment adviser or persons in which it has an interest (which we refer to as “interested persons”) was not affected by the ... Fetch Doc

GAO-11-119 401(K) Plans: Improved Regulation Could Better ...
To identify current practices in participant-level investment advice, we conducted a poll of plan sponsors and service providers in partnership with the Society for Human Resource Management (SHRM) and the Society of Professional Asset-Managers and ... Access Doc

About Experts Sitemap - Group 90 - Page 11 2012-07-27
I am not a participant in the personal financial planning General Stock Investment Strategies: GeneraL Hi Steve- First, I don t give any specific investment advice through this site (and it s not a stock I follow), so please take these as Rule 405 and Customer Risk Level, ... Read Article

Rafidah Telling The Story Of The Udang At PWTC - YouTube
Of International Trade and Industry,Dato' Seri Rafidah Aziz was in her normal dynamic self at the recent Klang Valley Investment & Trade Dialogue and immediate advice to Entepreneurs so that all their promotion to the best level with the best results ... View Video

6 Rhoads Drive, Suite 7, Utica, NY 13502 Www.bpas.com Press ...
Adviceware™ (see www.Adviceware.com) is an innovative web‐based solution for participant‐ level investment advice. In contrast to the Monte Carlo back‐tested methodology used by many competing ... Document Viewer

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Participant Investment Advice

New DOL Guidance On Providing Investment Advice To 401(k ...
Participant Advice Providing investment advise for a fee or other compensation makes a person a fiduciary – ERISA § 3(21)(A)(ii) Many vendors do not want to be ERISA fiduciaries DOL issued Interpretative Bulletin 96-1 (IB 96-1) to identify ... Fetch Full Source

Department Of Labor - U.S. Government Printing Office Home Page
Participant investment advice. The sroberts on DSK5SPTVN1PROD with RULES VerDate Mar<15>2010 19:40 Oct 24, 2011 Jkt 226001 PO 00000 Frm 00016 Fmt 4701 Sfmt 4700 E:\FR\FM\25OCR2.SGM 25OCR2. Federal Register/Vol. 76, No. 206/Tuesday, October 25, 2011/Rules and Regulations 66151 ... Retrieve Document

DOL Proposes Rules On Investment Advice For 401(k) Plans And IRAs
Sponsors not currently offering participant investment advice to now do so. Meanwhile, there is a parallel track on this issue in Congress.Rep. George Miller (D-Calif.), Chairman of the House Education and Labor Committee, was critical of the original DOL proposal.His committee ... Document Viewer

Mansukh Investment & Trading Solutions - YouTube
We are a Corporate Member of NSE ,BSE, NCDEX & MCX and Depository Participant with NSDL and CDSL.Team Mansukh consists of qualified Professionals like M.B.As, 2:37 Watch Later Error Investment Advice : Commodity Trading for Beginners by ehowfinance 13,932 views; ... View Video

LOG IN
Continuing its rapid expansion, CapTrust Financial Advisors, a large Raleigh, S.C. registered that serves private and institutional investors, acquired Freedom One Financial Group. Freedom One provides retirement plan and investment advisory services to companies in emerging markets. ... Read News

DOL Adopts Final Regulation On Exemption For Participant ...
1 DOL Adopts Final Regulation on Exemption for Participant-Level Investment Advice November 28, 2011 The U.S. Department of Labor (DOL) has adopted a final regulation to implement the statutory ... Retrieve Here

Investment Options Within The Thrift Savings Plan
Individual circumstances may compel a plan participant to leave money in longer. Consult a qualified financial professional for investment advice. More About the Thrift Savings Plan. Government Careers Glossary: Thrift Savings Plan; ... Read Article

1. Requires written certification of the model . 2. Prepared by an eligible investment expert (EIE) 3. EIE shall not have any material affiliation or material contractual ... Read Document

29CFR2509.2509.96-1 - Interpretive Bulletin Relating To ...
29CFR2509.2509.96-1 - Interpretive bulletin relating to participant investment education. (c) Investment Advice. Under ERISA section 3(21)(A)(ii), a person is ... Access Document

DOL Releases Interim Guidance On Electronic Disclosure Of Fee ...
Provision of investment advice to a participant with respect to a security or other property available as plan investment. Acquisition, holding or sale of a security or other property pursuant to the investment advice.6 ... Doc Retrieval

Global Banking Training Investment Banking And CFA Training ...
The program is well organized and tailored to give each participant real life experience in performing valuations and building financial models. 5:01 Investment Banking - Careers advice by Mybrightsparks 17,263 views; ... View Video

Pension Protection Act: DOL Interprets Participant Investment ...
11755 WILSHIRE BOULEVARD z 10TH FLOOR z LOS ANGELES, CA 90025 z (310) 478-5656 z (310) 478-5831 FAX z WWW.REISH.COM February 7, 2007 continued on next page ... Get Doc

AXA - Wikipedia, The Free Encyclopedia
AXA run its investment branch through AXA Investment Managers (IM). AXA Sun Life. AXA Sun Life was created following the merger between AXA Equity & Law and Sun Life Assurance Society PLC. ... Read Article

Federal Register - United States Department Of Labor
To provide participant education or investment advice. Commenters noted, for example, that a plan sponsor may wish merely to provide office space or make computer terminals available for use by a service provider that has been ... Read Full Source

DEPARTMENT OF LABOR
Otherwise make available any investment advice to a participant or beneficiary. (3) Nothing contained in ERISA section 408(g)(1), Code section 4975(f)(8), or this regulation invalidates or otherwise affects prior regulations, exemptions, interpretive or other ... Access Full Source

An Analysis Of Investment Advice To Retirement Plan ...
Those who may be least qualified to manage it.17 For the average participant in an employer-sponsored plan, the switch to self-directed pension plans might therefore cause a decline in seen, the educational materials and investment advice provided to those people by ... Retrieve Content

PARTICIPANT LEVEL ADVICE: CURRENT LEGAL AND REGULATORY ...
PARTICIPANT LEVEL ADVICE: CURRENT LEGAL AND REGULATORY ENVIRONMENT fi360 NATIONAL CONFERENCE May 2009 by: Marcia S. Wagner, Esq. The Wagner Law Group investment advice to the plan sponsor or plan participants would need to proceed cautiously in ... Doc Viewer

DOL Issues Final investment advice Rules - PRS Home Page
Participant or beneficiary, an investment option (such as employer securities or target date funds) may be excluded from the modeled advice; and The investment advice arrangement must be authorized by a plan fiduciary other than the person offering the ... Visit Document

Regulatory Brief: DOL Issues Final participant advice Regulations
Released its Final Regulation on participant investment advice. The Final Regulation strongly underscores the DOL’s recognition of the benefits of participant advice programs and is good news for participants and plan sponsors alike. ... Content Retrieval

TITLE
Participant Investment Advice vs. Investment Education From Nationwide® Advanced Sales: The Specialists For broker dealer use only. Not for distribution to the general public ... Access Doc

DOL Issues Final Regulations On Participant Investment Advice
Volume 34 | Issue 89 | November 18, 2011 DOL Issues Final Regulations on Participant Investment Advice The Department of Labor issued final regulations regarding provisions under the Pension Protection Act of 2006 ... Visit Document

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 regulations under the Employee Retirement Income Security Act (ERISA) provision of the advice or the participant acting on the advice; ... Content Retrieval

March 19, 2009 A PROFESSIONAL CORPORATION Investment Advice ...
Offer participant investment advice. The recommendation to a participant to take an otherwise permissible distribution and roll it to an IRA is not investment advice under ERISA. However, if the person making the recommendation is a ... View This Document