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Regulation, Reports & Other Guidance

DOL

07/19/2019 Alternative Investments in Defined Contribution Plans
04/08/2016 Conflict of Interest Rule
04/08/2016 Fact Sheet - Conflict of Interest Rule
03/12/2014 Fee Rule on Fee Disclosure
03/12/2014 Fact Sheet - Proposed Rule on Fee Disclosure
07/03/2013 Advisory Opinion 2013-03A - ERISA Accounts as Plan Assets
05/08/2013

Lifetime Income Illustration
02/03/2013 Advisory Opinion 2013-01A - Application of ERISA to Cleared Swaps

 

IRS

02/01/2014 IRS Notice 2014-09 - Rollover to Qualified Plans
01/01/2014 IRS Notice 2014-5 - Temporary Nondiscrimination Relief
12/01/2013 IRS Notice 2013-74 - Rollovers to Roth Accounts
10/01/2013 IRS Notice 2013-49 - Mortality Tables for 2014 and 2015
03/01/2012 IRS Notice 2012-04 - Rollovers from DC to DB for Annuity
01/01/2012

IRS Notice 2012-03 - Survivor Annuity Requirements for Deferred Annuities

Treasury Fact Sheet - Lifetime Income Choices

 

PBGC

07/08/2014 Moratorium on 4062(e) Enforcement
04/03/2013 Proposed Rule - Reportable Events
03/25/2014 Enrolled Actuaries Mortality Presentation
03/21/2014 IG Report - 4062(e)
01/01/2014 2013 Annual Report

 

GAO

02/26/2015 Information for Participants Offered Lump Sums
03/20/2014 Pension Tax Incentives Update
01/23/2014 PBGC Flate-Rate Premium
11/01/2013 Plan Reporting & Disclosure

 

CFTC

Business Conduct Standards - Swaps

 

CRS

04/16/2012 Pension Funding PBGC

 

CEA

02/01/2015 Conflict of Interests