PLANADVISER Weekend Newsdash
Week ending November 8th, 2019

For the casual observer, the shifting tangle of laws and regulations governing the behaviors of retirement plan fiduciaries can seem almost comically complex. For industry practitioners, wrestling with regulatory compliance is a daily battle, and one with potentially dire personal and professional consequences. Below you will find a roundup of significant regulatory events from 2019. We hope you’ll share some of what you read with a client or colleague.

Editor's choice
DOL Proposes New Electronic Disclosure Rule
The new rule would offer a safe harbor for sponsors that want to make retirement plan disclosures available on websites. Read more >
‘Smart Money’ Says 2nd Circuit Won’t Halt SEC Regulation Best Interest
Advisory firms waiting to see whether the 2nd Circuit will delay or outright halt the implementation of the SEC’s Regulation Best Interest are wasting precious time. Read more >
‘FINRA Settlement Expungement Process Is Broken,’ Former Regulator Says
FINRA is advancing a proposal to modernize the process by which brokers can clear their records of past customer disputes, but one former regulator questions whether the proposed approach fixes some fundamental issues of transparency and fairness for consumers. Read more >
State Insurance Regulators Seeking Harmony with Reg BI
The National Association of Insurance Commissioners is seeking to update its rules and restrictions on the sales of annuities so they better harmonize with the SEC’s Regulation Best Interest. Read more >
IRS Proposes Changes to Tables Used in RMD Calculations
The purpose of any such updates would be to increase the effectiveness of tax-favored retirement programs by allowing retirees to retain sufficient retirement savings in these programs for their later years, the IRS says. Read more >
DOL and SEC Weigh New Proxy Voting Standards
Both the Department of Labor and the Securities and Exchange Commission are revisiting their proxy voting rules, creating an opportunity for greater regulatory alignment. Read more >
MOST POPULAR STORIES
GKN Latest to Face Scrutiny Over GoalMaker Service

Though its GoalMaker portfolio management solution features prominently in the plaintiffs’ allegations, Prudential is not a party in the case.

Older 401(k) Participants Moving to TDFs More So Than Younger Participants

Participants in their 50s and 60s are using TDFs more than they have in the past, according to a new EBRI and ICI report.

New Benartzi Paper Dissects Narrow Framing Phenomenon

Would you accept a bet in which you win $200 if a coin lands on heads and lose $100 if it lands on tails? What if you could play twice?

Well-Funded HSAs Are a Retirement 'Superpower'

Having an HSA going into retirement is ‘incredibly powerful,’ experts say, because money is being saved and spent as efficiently as possible.

Retirement Industry People Moves

TIAA appoints chief brand and demand generation officer; BDO USA adds Lowery Asset Consulting; Morgan Stanley Investment Management bolsters sales leadership team; and more.

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