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Welcome to the Pension Protection Act (PPA) and Fiduciary Adviser Legal Resource Center. This site provides a comprehensive collection of legal and compliance resources for broker-dealers, registered investment advisers, investment adviser representatives, investment managers and plan sponsors concerning fiduciary advice for retirement plans, plan participants and IRA beneficiaries.

For more information about this site or for assistance with establishing an investment advice program, please feel free to contact Jason C. Roberts, Esq. AIFA® at Reish & Reicher.
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Fiduciary Adviser Legal
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Pension Risk Matters


Hosted by Jason C. Roberts, Esq., AIFA®


Hosted by BrightScope, Inc.

Hosted by Dr. Susan Mangiero and Pension Governance, LLC

Articles Fee Disclosure & Analysis  

Labor Department Cracking Down on Broker-Driven Rollovers

Labor Department Reworking Investment Advice Rule

Treasury Department Publishes "Retirement & Savings Initiatives"

DALBAR Update on DOL Initiatives (fee disclosure, advice, QDIAs, Auto IRAs, and enforcement)

House Introduces 401(k) Fair Disclosure & Pension Security Act

HR 2989: 401(k) Fair Disclosure for Retirement Security Act 2009

Conflicted Investment Advice Prohibition Act of 2009

Andrews Legislation Raises Questions

Investment Advice for Participants: Prohibited Transactions and Level Fee Advice

Investment Advice to Participants: What The "Final" DOL Regulation Means (March 2009)

Final Rules Re: Investment Advice (class and statutory exemptions), released January 15, 2009

Fiduciary Adviser Compensation

A DC Plan Sponsor Guide to PPA

Fiduciary Adviser Myth-Buster

Plan Adviser Giving Investment Advice is a Fiduciary

FIDUCIARY ADVISER TRAINING AND CERTIFICATION

Fiduciary Adviser Network Training Programs

Fiduciary Adviser Certification Process

Fiduciary Adviser Network Annual Audit

Detailed Description of Fiduciary Adviser Training, Certification and Audit Procedures

 

 

Update on Service Provider Disclosure Under 408(B)(2)

Fiduciary Requirement for Disclosure in Participant-Directed Individual Account Plans; Proposed Rule

Reasonable Contract or Arrangement Under Section 408(b)(2) - Fee Disclosure; Proposed Rule

Letter from the Committee on Education and Labor to DOL

Uncovering Hidden Fees

Comments to EBSA on Advice Fee Disclosure

DOL Report of Plan Fees and Reporting on
Form 5500

Qualified Default Investment Alternatives and Automatic Enrollment

Final Word on QDIA

Review of Qualified Default Investment Alternatives

QDIA Proposal

Automatic 401(k) Overview for Employers

 

 

 

Regulatory Cooperation for ERISA Violations

Plan Adviser Giving Investment Advice is a Fiduciary

Ellis vs. Rycenga Homes, Inc.

Madoff Investor and "Feeder Fund" Litigation

Memorandum of Understanding Concerning Cooperation between DOL and SEC

Summary of Litigation Claims Related to 401(k) Plan Fees

401(k) Fee Suits Not Soon to Retire

ING Life Insurance and Annuity Company ERISA Litigation

 

 

 

Government Sites & Legislation

Selecting And Monitoring Pension Consultants - Tips For Plan Fiduciaries

EBSA Enforcement Manual at http://www.dol.gov/ebsa/OEManual/main.html

Department of Labor - Employee Benefits Security Administration

Pension Protection Act

Guidance Relating to the Investment Advice Provisions of the PPA Field Assistance Bulletin 2007-01

ERISA in the United States Code

DOL Fiduciary Education Homepage

DOL Advisory Opinions

Study of 401(k) Plan Fees and Expenses

 

 

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