Tag: ERISA
New Fiduciary Rule: An IAA Webinar Recap
Here's what you need to know about the IAA's recent DOL webinar.
July 12, 2024
The New DOL Fiduciary Rule: What Advisers Need to Know
This article discusses the impact of the DOL’s 2024 final fiduciary rule and the amendments to Prohibited Transaction Exemption (PTE) 2020-02, issued at the same time as the rule, on registered investment advisers.
June 05, 2024
Changes to DOL’s Fiduciary Rule and Rollover Exemption
The DOL has finalized changes to its Investment Advice Definition and related prohibited transaction exemption (PTE 2020-02).
April 24, 2024
Tags: DOL, ERISA, Fiduciary, PTE 2020-02
Changes to DOL’s QPAM Exemption: What You Need to Know
The DOL has finalized changes to its Qualified Professional Asset Manager (QPAM) Exemption, making some significant changes from the proposal.
April 02, 2024
DOL’s Proposed Changes to Fiduciary Rule and Rollover Exemption – What You Need to Know
The IAA has recommended changes to the DOL’s proposed new Investment Advice Definition and related exemption PTE 2020-02.
January 02, 2024
Tags: DOL, ERISA, Fiduciary, PTE 2020-02
Here’s What You Need to Know About the Busy DOL Regulatory Agenda
The Department of Labor announces updates on key retirement and worker classification regulations, including finalized procedures for exemption applications, auto-portability of retirement proposal, reporting review, and a new independent contractor rule.
January 29, 2024
The Proposed DOL Fiduciary Rule: Significant Changes for Advisers
This article discusses the DOL’s November 2023 proposed fiduciary rule amendments, including proposed amendments to Prohibited Transaction Exemption (PTE) 2020-02, and their impact on SEC-registered investment advisers.
November 30, 2023
DOL Proposes Updated Definition of Investment Advice Fiduciary
The Department of Labor (DOL) has issued a proposal to update the definition of an investment advice fiduciary under the Employee Retirement Income Security Act (ERISA). The updated definition of an investment advice fiduciary would apply when a financial service provider gives investment advice for a fee to retirement plan participants, IRA owners and others.
November 01, 2023
Tags: DOL, ERISA, Fiduciary, IRAs, Retirement Plans
The IAA Recommends Changes to Proposed QPAM Exemption
The DOL’s proposed new QPAM Exemption requirements would significantly narrow the availability of the exemption and make it more difficult for advisers to use. While we support efforts to protect the interests of plans and plan participants and beneficiaries, we are concerned that the QPAM Exemption proposal’s potential impacts will have negative consequences.
October 19, 2022
The ERISA Fiduciary Advice Exemption
Compliance with the DOL fiduciary advice exemption is now required if making a recommendation to roll assets out of an ERISA plan.
June 23, 2022
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