INDUSTRY RESOURCES
We make available industry communications, resources and other important documents from federal agencies including:
- Industry Alliances
- Social Security Administration
- Treasury Department (IRS)
- Department of Labor (DOL)
- U.S. Securities and Exchange Commission (SEC)
- Federal Register (FR)
- U.S. Government Accountability Office (GAO)
Industry Alliances
Broadcast retirement Network (BRN)
The Broadcast Retirement Network (BRN) is the first lifestyle media platform focused on helping Americans achieve financial independence and to make retirement and savings culturally relevant. The content is informative and engages the viewer. Most importantly – No agendas, no sales pitches, no product pushes: TheMorningPulse.com
For more news and content each and every day subscribe and visit: broadcastretirementnetwork.com
Defined Contribution Alternatives Association (DCALTA)
DCALTA is an IRC 501(c) non-profit association that exists to advance the utilization of alternative investments within a Defined Contribution framework. Through focused research, education, and advocacy we seek to better secure and enhance participant outcomes through the inclusion of Hedge Funds, Private Equity, and other alternative investments in the defined contribution model. Visit us at: dcalta.org
Defined Contribution Institutional Investment Association (DCIIA)
The Defined Contribution Institutional Investment Association (DCIIA) is a non-profit association dedicated to enhancing the retirement security of America’s workers. To do this, DCIIA fosters a dialogue among the leaders of the defined contribution community who are passionate about improving defined contribution outcomes. DCIIA’s diverse group of members include investment managers, consultants and advisors, law firms, record keepers, insurance companies, plan sponsors and other thought leaders who are collectively committed to the best interests of plan participants. Visit us at: dciia.org
Financial Services Information Sharing and Analysis Center (FS-ISAC)
The Financial Services Information Sharing and Analysis Center (FS-ISAC) is an industry consortium dedicated to reducing cyber-risk in the global financial system. Serving financial institutions and in turn their customers, the organization leverages its intelligence platform, resiliency resources, and a trusted peer-to-peer network of experts to anticipate, mitigate and respond to cyberthreats. FS-ISAC has nearly 7,000-member firms with users in more than 70 countries. Headquartered in the US, the organization has offices in the UK and Singapore. To learn more, visit: fsisac.com
Cybersecurity Briefs
Women in Pensions Network (WiPN)
Formalized in 2009 and now an established 501(c)6 non-profit, WiPN has a network of 1700+ women. Membership represents all segments of the retirement industry including early, mid- and senior level women across service providers such as Recordkeepers, TPAs, DCIOs and ERISA attorneys as well as financial advisors and consultants. Visit us at: womeninpensionsnetwork.org
Social Security Administration
On August 14, 1935, when President Franklin Delano Roosevelt signed the Social Security Act into law, he was determined to keep older Americans from ending up in poverty after a lifetime of hard work. While Social Security was never intended to be the sole income during retirement, most elderly people rely on Social Security for 50% or more of their retirement income. Today, Social Security is a lifeline for most retirees, helping millions achieve a secure future. They are committed to improving service to the millions of Americans who rely on them to provide service channels they can access at their convenience, online, through a my Social Security account.
As an employer, you can help empower your employees’ futures by encouraging them to sign-in or create a my Social Security account where they can verify their earnings history and estimate their retirement benefits. These features can help them when making other financial decisions about their 401k and savings for retirement. And when they are ready to retire, they can easily retire online with them.
FS-ISAC
Financial Sector Return to Normal Operations Resource Guide (May 27, 2020)
IRS
Notice CP14I – Return Filed – IRA Taxes or Penalties Due – TAS
IRS Releases Guidance on Uncashed Checks (August 14, 2019)
IRS Guidance on Substantiation of Hardship Distributions (February 23, 2017)
IRS Rev Proc 2016-51 Update to Employee Plans Compliance Resolution System (October 4, 2016)
IRS Rev Proc 2016-47 Waiver of 60-Day Rollover Requirement (September 21, 2016)
IRS Rev Proc 2016-47 Waiver of 60-Day Rollover Requirement (August 24, 2016)
Notice 2014-54 – Guidance on Allocation of After-Tax Amounts to Rollovers (September 22, 2014)
IRS Rev Proc 2014-45 Money Market Fund Wash Sale Rules (July 24, 2014)
IRS Retirement Plan Rollover Chart (Posted April 14, 2014)
IRS Revenue Procedure 2014-9 re: Rollovers to Qualified Plans (April 4, 2014)
IRS Revenue Procedure 2014-28 re: 403(b) Opinion and Advisory Letter Procedures (March 25, 2014)
Treasury Department Notice and Application Request Re: “myRA” Program (March 6, 2014)
Treasury Department “myRA” Fact Sheet (February 4, 2014)
IRS Notice 2013-74 Re: In-plan Roth Account Rollovers (December 11, 2013)
IRS Revenue Ruling 2013-17 re: Same-Sex Spouses and Domestic Partners (August 29, 2013)
IRS FAQ’s re: Same-Sex Marriages (August 29, 2013)
IRS FAQ’s re: Domestic Partners and Civil Unions (August 29, 2013)
DOL
Default Electronic Disclosure by Employee Pension Benefit Plans under ERISA (May 27, 2020)
DOL FAQs on Fiduciary Rule Part II (January 13, 2017)
DOL Final Rule Re: City Mandated IRAs (December 20, 2016)
DOL FAQs on Fiduciary Rule Part I (October 27, 2016)
DOL Final Rule Re: State Mandated IRAs (August 25, 2016)
DOL Proposed Rule Re: City Mandated IRAs (August 25, 2016)
DOL Press Release Announces Final Rule on State Payroll Deduction IRA Accounts (August 25, 2016)
DOL Final Rule Re: Definition of the Term “Fiduciary” (April 8, 2016)
DOL Final Rule Re: Best Interest Contract Exemption (April 8, 2016)
DOL Final Rule Re: Class Exemption for Principal Transactions (April 8, 2016)
DOL Final Rule Re: Amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V (April 8, 2016)
DOL Final Rule Re: Amendment to Class Exemptions 75-1, 77-4, 80-83 and 83-1 (April 8, 2016)
DOL Fact Sheet – State-Run Plan Guidance (Nov 16, 2015)
DOL Updated Regulatory Agenda Chart (May 29, 2014)
DOL Notice Re: Focus Groups to Evaluate Effectiveness of 408(b)(2) Disclosures (March 12, 2014)
DOL Proposed Rule Re: 408(b)(2) Guide Requirement (March 12, 2014)
DOL Proposed Rule Re: 408(b)(2) Guide Requirement – Fact Sheet (March 11, 2014)
Summary of DOL OIG’s Recommendations to EBSA Re: Valuing Alternative Investments (October 2, 2013)
Department of Labor Technical Release 2013-04 Recognizing Same-Sex Marriages (September 18, 2013)
DOL Statement Survey – ICR Submission Document (August 9, 2013)
DOL Statement Survey Package – Part A Supporting Statement (August 9, 2013)
DOL Statement Survey Package – Part B Supporting Document (August 9, 2013)
DOL Statement Survey Package – Focus Group Discussion Guide (August 9, 2013)
DOL Statement Survey Package – Survey Instrument (August 9, 2013)
DOL Statement Survey Package – Survey Instrument Clarification for OMB (August 9, 2013)
DOL Statement Survey Package – Sample Statement Version 1 (August 9, 2013)
DOL Statement Survey Package – Sample Statement Version 2 (August 9, 2013)
DOL Statement Survey Package – Sample Statement Version 3 (August 9, 2013)
DOL Statement Survey Package – Informed Consent Statement (August 9, 2013)
SEC
SEC No-Action Letter for Non-ERISA Plans (February 18, 2015)
SEC Final Rule re: Registration of Municipal Advisors (Federal Register version – November 12, 2013)
SEC Fact Sheet re: Final Municipal Advisor Rules (September 18, 2013)
Federal Register
Federal Register Vol. 81, No. 132 – The Principal Transaction Exemption (July 11, 2016)
Federal Register Vol. 79, No. 182 – Proposed Regs on ROTH IRA Rollovers (Sept 22, 2014)
Federal Register Vol. 79, No. 127 Longevity Annuity Contracts (July 2, 2014)
GAO
Highlights of GAO Report on Required Reports and Disclosures (Posted December 19, 2013)
GAO Report Re: 401(k) Spend-down Options (Posted December 19, 2013)
Highlights of GAO Report on Spend-down Options (Posted December 19, 2013)
Other
Presidential Memorandum of Fiduciary Rule (February 3, 2017)
Incoming Letter to SEC on No-Action Relief for Non-ERISA Plans (February 9, 2015)
Money Market Fund Reform “Fact Sheet” (July 24, 2014)
FY 2015 Budget Proposal (March 4, 2014)
Commerce Department RFI Re: Death Master File (Federal Register version – March 3, 2014)
Ways and Means Chairman Camp’s Tax Reform Plan – Executive Summary (February 26, 2014)
Proposed Retirement Security Act (Collins & Nelson) – Full Text (February 3, 2014)
Proposed USA Retirement Funds Act – Full Text (Posted January 31, 2014)
Proposed USA Retirement Funds Act – Summary (Posted January 31, 2014)
Proposed USA Retirement Funds Act – Frequently Asked Questions (Posted January 31, 2014)
White House “myRA” Fact Sheet (January 29, 2014)
White House Summary of Key Executive Actions – Full Text (January 29, 2014)
FINRA Issues 10 Tips to Making a Sound Decision on IRA Rollovers (Posted January 24, 2014)
FINRA Regulatory Notice 13-45 Re: Rollovers to IRAs (Posted January 2, 2014)
California Secure Choice Retirement Savings Program – Request for Information (September 30, 2013)
Letter From Senators to OMB Director Burwell Re: DOL and SEC Fiduciary Initiatives (August 2, 2013)