Financial regulations

Open enrollment offers seniors the opportunity to change their plans and save hundreds of dollars.

Open enrollment offers seniors the opportunity to change their plans and save hundreds of dollars.

Plan sponsors can — and should — help ease fears, according to new research from Fidelity Investments.

Plan sponsors can — and should — help ease fears, according to new research from Fidelity Investments.

Investors can expect limited options or higher fees in their retirement plans as brokerage firms are evaluating their pricing structures to comply with the fiduciary rule.

Investors can expect limited options or higher fees in their retirement plans as brokerage firms are evaluating their pricing structures to comply with the fiduciary rule.

Lawmakers have a responsibility to craft legislation and regulations that will help employers of all sizes, says State Street Global Advisors’ Melissa Kahn.

Lawmakers have a responsibility to craft legislation and regulations that will help employers of all sizes, says State Street Global Advisors’ Melissa Kahn.

Enforcement actions at the SEC and FINRA highlight emphasis regulators are placing on fees and reverse churning, anti-money laundering programs and variable annuities.

Finance and technology are merging together as employers aim to help employees take control of their financial wellness. Andrew Lendnal of HelloWallet shares the next trends in this space.

Despite recent lawsuits against the Department of Labor on the matter, the regulations will go into effect as planned, predicts adviser Robert Lawton.

Despite a recently launched lawsuit against the DOL, the rules will go into effect as planned, says adviser Robert Lawton.

Some insiders at big brokerage firms encouraged the DOL to maintain progress during the rule’s development, which Assistant Secretary of Labor Phyllis Borzi says “kept us going.”

Changes will be more substantial than previous updates, said Phyllis Borzi, assistant secretary of labor for the Employee Benefits Security Administration, speaking this week during the IFEBP’s Washington Legislative Update.

The compliance deadline is looming, says adviser John Ludwig, and plan sponsors must be prepared to navigate how the new rules will affect their 401(k) plans.

The October deadline is looming, says columnist John Ludwig, and adviser can help employers navigate the nuances of investment strategies to avoid later hassles.