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| Reg BI Could Make It Easier for B/Ds to Compete With Retirement Plan Advisers |
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Experts say the new SEC rules could allow brokers to encroach into the traditional territory of advisers without having to meet the same fiduciary standard of care.
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| Tracking SECURE Act, RESA, DOL Developments and More |
| On June 5, the opening day of the 2019 PLANSPONSOR National Conference, David N. Levine, a principal with Groom Law Group, and Robin M. Solomon, a partner at Ivins, Phillips & Barker, discussed the Setting Every Community Up for Retirement Enhancement Act, which recently passed the House by a practically unanimous margin of 417 – 3.
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| Groups Ask DOL to Make 401(k) Electronic Delivery the Default |
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ICI, SPARK and the ACLI are among the eight organizations making the request.
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| Just Hours Left to Comment on N.J. Fiduciary Rule |
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All eyes might be on the SEC’s pending vote on Regulation Best Interest, but ERISA attorneys with Stradley Ronon suggest New Jersey is now “the state to watch” for advisers and brokers tracking the development of conflict of interest regulations.
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| SEC Examiners Warn About Cloud Storage Risks for Advisers |
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SEC inspection staffers have identified growing security risks associated with advisers’ storage of electronic customer recorders in cloud-based platforms—and they will be watching for non-compliance in this area.
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