Retirement, LLC |
Trucker Huss, A Professional Corporation |
United 401(k) Plans, Inc. |
Central Pension Fund of the IUOE |
Nova 401(k) Associates |
Nicholas Pension Consultants |
Defined Benefit Calculation Specialist/Actuary The Angell Pension Group, Inc. |
Carpenter Morse Group |
Bates & Company |
Prime Pensions, Inc. |
Central Pension Fund of the IUOE |
Retirement Plan Legal Specialist Pentegra |
Compass Retirement Consulting Group, Inc. |
Retirement Plan Relationship Manager ERISA Services, Inc. |
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An Overview for Investment Managers: DOL's Proposal to Define Investment Advice (PDF) Groom Law Group via The Investment Lawyer ![]() [Guidance Overview] Sept. 29, 2015 13 pages. "The Proposal is truly unprecedented in that the Department proposes to use its regulatory authority to regulate the IRA marketplace and require providers to meet compliance requirements that are more demanding than currently required under the Code and, arguably, more demanding than those currently required under federal and state securities laws and state insurance laws. While the definition of 'investment advice,' the BIC Exemption, and the changes to the PTEs are only proposed and the Department must sift through hundreds of comments letters and three and a half days of hearing testimony, the Department is motivated to produce a final rule and has White House support.... Application of the final rule to IRAs should be expected." |
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