This month, the Department of Labor’s Prohibited Transactions 2020-02 (PTE 2020-02) went into effect. This regulation increases the fiduciary scrutiny placed on IRA rollovers and other transactions ...

Recommendations to retirement plan participants to roll their accounts from a plan to an individual retirement account or annuity will often be viewed as fiduciary advice under new Department of Labor ...

Overview: In general, the prohibited transaction rules (in ERISA and the Tax Code) (1) prohibit fiduciaries that provide investment advice to plans subject to Title I of ERISA (including 401(k) plans, ...

The Retirement Security Rule and accompanying Prohibited Transaction Exemption amendments, finalized in April, elaborate on differential pay between products offered by advisers and how advisers ...

Independence Day is just around the corner, and as we celebrate the freedom that our country enjoys, we must bear in mind there are many regulations our industry is beholden to, including the ...