Retirement Regulation

In a post-fiduciary-rule-vacated world, are SEC and DOL aiming for complementary regulation?

People are more secure in their retirement preparations now than before the Great Recession, but problems linger.

The DOL proposal to expand access to multiple employer plans would also open up sponsorship to PEOs.

Both the Labor Department and Securities and Exchange Commission are leveraging enforcement initiatives at a historical level of tenacity.

A critic of the SEC's proposed Regulation Best Interest, Rep. Waters would likely head committee with SEC oversight.

Under SEC Chair Clayton, more outreach to retail investors & a pledge to continue to identify registered reps' misconduct.