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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, please feel free to contact Jason C. Roberts, Esq. AIFAŽ at the Pension Resource Institute, LLC.
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Fiduciary Adviser Legal
& Compliance Report

BrightScope Blog

Pension Risk Matters

The 401(k) Fiduciary Advice Blog


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


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Hosted by Dr. Susan Mangiero and Pension Governance, LLC

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Articles Fee Disclosure & Analysis  

ERISA Compliance - Overview and Action Items for BD-RIAs

ERISA Compliance Article - Tips for RIAs

A Perfect Storm: Tips for Navigating ERISA Compliance

U.S. Dept of Labor Unveils 401(k) Fee Rules

Investment Advice Regs: Interview with Jason Roberts- Podcast

Talking Points: Investment Advice Regulations - Podcast

Impact Analysis -2010 Advice Regulation Proposal - Prepared by DALBAR

Labor Department Cracking Down on Broker-Driven Rollovers

Treasury Department Publishes "Retirement & Savings Initiatives"

 

 

Investment Education vs. Advice (DOL Interpretative Bulletin 96-1)

Participant Advice DOL Field Assistance Bulletin 2007-1

Cross-Selling and IRA Rollover Guidance (DOL Advisory Opinion 2005-23A)

Post CFDD Cross-Selling Webinar

DOL/SEC Investor Bulletin: Target Date Retirement Funds

RECENT FINAL AND PROPOSED REGULATIONS

Final Rule: Reasonable Contract or Arrangement under ERISA 408(b)(2) - Fee Disclosure

Final Rule: Participant Disclosures

Proposed Rule: Definition of the Term “Fiduciary”

Proposed Rule: Participant Advice

 

 

 

Geller Group Confirms Labor Department Probe

Regulatory Cooperation for ERISA Violations

Fiduciary Focus: Providing Advice to 401(k) Plans

Ellis vs. Rycenga Homes, Inc.

Memorandum of Understanding Concerning Cooperation between DOL and SEC

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

 

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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