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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.
PPA-Law
Blogs
 

Fiduciary Adviser Legal
& Compliance Report

BrightScope Blog

Pension Risk Matters

The 401(k) Fiduciary Advice Blog


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


Hosted by BrightScope, Inc.

Hosted by Dr. Susan Mangiero and Pension Governance, LLC

Hosted by BeManaged

Articles Fee Disclosure & Analysis  

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"

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

Investment Advice for Participants: Prohibited Transactions and Level Fee Advice

Fiduciary Adviser Compensation


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

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

 

 

 

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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