Category Archives: Regulatory

Congress delivers SECURE and more in year-end benefits bonanza

On December 20, 2019, President Trump signed into law a comprehensive government funding bill (the Appropriations Act, including the SECURE Act) that includes substantial employee benefits-related provisions. The legislation affects both retirement and health plans, has some immediate and January 1, 2020 effective dates, and will have a significant impact on the way that many plans are operated. Many of the SECURE Act provisions are intended to encourage the use of lifetime income products (such as annuities) in 401(k) plans and other defined contribution plans, while others are designed to encourage small-to-midsized employers that do not currently offer retirement plans to employees to adopt a plan. Other provisions are intended to increase retirement savings in existing plans, and some are simply intended to increase revenue.

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Additional contributor to this post:

Carol T. McClarnoncarolmcclarnon@eversheds-sutherland.com

Issue and Spinning Rules; Comment Now on SEC Advertising and Cash Solicitation Rule Changes; CFTC Simplifies CPO/CTA Registration Exemptions; Actively-Managed ETFs Clear Regulatory Barrier

January Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.

Topics include:

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Filing Deadlines and To-Do List for December 2019

Cari Hopfensperger from Hardin Compliance Consulting LLC shares these important deadlines and to-dos:

What’s Next?: Regulatory Update for November 2019

Regulatory Updates from Cari Hopsfenperger at Hardin Compliance Consulting LLC.

Topics include:

Read the full update here.

 

SEC’s Relentless Pursuit of Comp-Related Conflict Disclosures: Lessons Learned from SEC and FINRA Cases and Worth Reading for November 2019

Cari Hopfensperger at Hardin Compliance Consulting LLC shares her insights regarding recent SEC and FINRA cases.  Topics include:

Read more here.