Library

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 10: DOL Encourages Participant Education

May 20, 2016 | Retirement Plans

The widely anticipated final fiduciary rule from the Department of Labor (DOL) is here. As expected, the rule broadly expands the definition of fiduciary investment advice but provides welcome flexibility for providing general education materials to participants without triggering fiduciary …

Shelby George

Senior Vice President, Advisor Services

Library » Regulatory FAQ: “Final” Agency Rules Issued After Mid-May, 2016, Might Not Be So Final

April 06, 2016 | Retirement Plans

If the political balance of power changes in 2017, what can be done to reverse Obama Administration agency regulations? An obscure parliamentary mechanism called the Congressional Review Act (CRA) may enable the 2017 Congress and President to overturn final regulations they don’t like . . . but …

Library » Regulatory FAQs: FINRA's Proposed Rule to Protect Vulnerable Investors

March 03, 2016 | Retirement Plans

I have heard there is the potential for new regulations designed to protect vulnerable investors. What are the implications for financial advisors? As the population continues to age, regulators’ attention is focused on protecting senior citizens and other vulnerable people from financial fraud …

Library » Regulatory FAQs: The ACA and January 31 Open Enrollment Deadline

January 28, 2016 | Retirement Plans

As a financial advisor, what do I need to know about the Affordable Care Act (ACA) tax penalty on individuals without health insurance? For many, the cost of health care is a very real, recurring expense that requires planning and management. As employers move to defined contribution health care …

Library » An Easy Button for DC Plans?

December 02, 2015 | Retirement Plans

Close your eyes and imagine that there was a button plan sponsors could press that would turn participant inertia into an asset, and help improve sub-optimal asset allocations while simultaneously putting the plan sponsor on more solid fiduciary footing. Luckily there is, it’s called re- …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 8: The DOL’s Proposed Fiduciary Rule

November 30, 2015 | Retirement Plans

There has been plenty of industry chatter deconstructing the Department of Labor’s (DOL) proposed rule defining who is a “fiduciary” of an employee benefit plan under the Employee Retirement Income Security Act of 1974 (ERISA) as a result of giving investment advice. Much of the industry …


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