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IAA Supports DOL Proposal on Retirement Plan Investment Options
The IAA strongly supports the DOL proposal on facilitating investments in a range of alternative assets that emphasizes fiduciary prudence, flexibility, and investor protection.
June 01, 2026
IAA Recommends Changes to DOL Investment Advice Rule
The IAA has recommended changes to the DOL’s proposed new Investment Advice Definition and related exemption PTE 2020-02.
January 02, 2024
Comments on DOL Proposal to Amend the QPAM Exemption
The IAA responded to a Department of Labor proposal to amend the QPAM Exemption. While we support the DOL’s efforts to protect the interests of Plans and Plan participants, we are concerned that the potential impacts of the proposal would extend beyond these objectives and would have negative consequences that may not be in the best interest of Plans and their participants.
October 11, 2022
IAA, Joint Trades Letter Requesting Extension of Comment Period for QPAM Proposal
The IAA and other trade associations urge the DOL to extend the comment period for a proposal that would significantly narrow the availability of the QPAM Exemption.
August 19, 2022
IAA Guide to the DOL PTE 2020-02 Annual Retrospective Review
The IAA has created a guide to assist members with navigating the retrospective review requirement of PTE 2020-02.
October 31, 2021
IAA Unsolicited Rollover Confirmation Template
The IAA has created a guide to assist members when they receive unsolicited requests from clients to rollover retirement assets.
October 31, 2021
IAA Retirement Account Rollover Recommendation Checklist
This checklist includes points discussed in the DOL Fiduciary Exemption (2020-02) related to rollovers and in SEC staff bulletins related to the standard of conduct for investment advisers.
October 31, 2021
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