Employee Benefits Security Administration

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  Think Your Portfolio Models Pass ERISA Muster? You May Be Wrong

  By Melanie Waddell, AdvisorOne  |  September 7, 2012

  Fred Reish of Drinker Biddle & Reath lays out guidelines for providing asset allocation models that will not be treated by ERISA as designated investment alternatives.

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  5 Tips for Advisors to Benefit From a Post-Fee-Disclosure World

  By Joyce Hanson, AdvisorOne  |  August 27, 2012

  For advisors who serve retirement plan sponsors, the DOL’s fee disclosure rule that goes into effect on Aug. 30 is a business opportunity, says 401(k) Coach Charlie Epstein.

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  SEC, FINRA, DOL Enforcement Roundup: Investing Website Exposed as $600M Scam

  By Marlene Y. Satter, AdvisorOne  |  August 23, 2012

  A CEO who fed inside tips to a pro baseball player and an investment website running a $600 million Ponzi scheme were among those charged by the SEC recently.

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  Controversy Over Brokerage Windows Is Focus of Drinker Biddle Debate

  By Danielle Andrus, AdvisorOne  |  August 17, 2012

  Drinker Biddle & Reath held the first of a series of conference calls for advisors on regulation, discussing the controversy over proposed brokerage window rules and how the election could affect the fiduciary debate.

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  DOL Backs Off Controversial Brokerage Window Plan

  By Melanie Waddell, AdvisorOne  |  July 31, 2012

  EBSA backed off on its controversial fiduciary requirements involving brokerage windows under its fee-disclosure rule 408(b)(2) that had the retirement planning community up in arms.

• Borzi on the Hot Seat, Again

  By Melanie Waddell, AdvisorOne  |  July 24, 2012

  Phyllis Borzi is once again feeling heat—this time from House Democrats—over her insistence on including individual retirement accounts (IRAs) in the Department of Labor’s reproposed fiduciary rule.

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  SEC, DOL Enforcement Roundup: CDO Woes, Short-Selling Brothers, Amish Fund

  By Marlene Y. Satter, AdvisorOne  |  July 19, 2012

  Recent actions by the SEC and DOL included fines of $127.5 million for a securities firm over false CDO credit ratings and $14.5 million for two short-selling brothers, along with deferred prosecution for an Amish fund.

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  DOL to Offer Tool to Help Plan Sponsors Seek Fiduciary Relief Under 408(b)(2)

  By Melanie Waddell, AdvisorOne  |  July 18, 2012

  The EBSA announced Wednesday that it will provide a Web-based tool for plan sponsors who wish to obtain fiduciary relief when a service provider fails to provide proper fee disclosures under the 408(b)(2) rule.

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  Ex-EBSA Head Sees No Fiduciary Plan Before Election

  By Melanie Waddell, AdvisorOne  |  June 26, 2012

  Brad Campbell, the former head of EBSA, predicted Tuesday that the DOL won’t release its reproposed fiduciary rule until after the presidential election in November.

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  Time’s Up on DOL’s 408(b)(2) Deadline

  By Melanie Waddell, AdvisorOne  |  June 26, 2012

  The July 1 compliance date for the Department of Labor’s (DOL) final 408(b)(2) fee disclosure rule has finally arrived, and even though the final rule was a long time coming, covered service providers have been ramping up their compliance efforts for months.