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Browsing Uncategorized

The SEC proposes broker/investment adviser conduct rules

We concluded our article Fiduciary Rule vacated: significance for plan sponsors with the observation that sponsor fiduciaries will want to review follow-on guidance on broker/adviser conduct that the Department of Labor or the Securities and Exchange Commission publishes. On April 18, 2018, the SEC, by a 4-1 vote, proposed (1) a “Regulation Best Interest” providing…Read More

The PBGC Premium Burden

PBGC premiums are one of the costliest components of a company’s Defined Benefit plan. For many plans these premiums are in excess of 1% of assets annually. As PBGC premiums continue to rise, managing these premiums has become critical for Plan Sponsors of DB plans. For the second year in a row we have analyzed…Read More

Fiduciary Rule vacated: significance for plan sponsors

How will the Fifth Circuit’s decision, in Chamber Of Commerce of the United States of America, et al. v. United States Department of Labor, to vacate the Department of Labor’s Fiduciary Rule affect plan sponsors? In this article we begin with a brief summary of the current situation post the Fifth Circuit decision. We then…Read More

Retirement Enhancement and Savings Act of 2018 Introduced in Senate

On March 8, 2018, Senators Hatch (R-UT) and Wyden (D-OR), Chairman and Ranking Member of the Senate Finance Committee, introduced the Retirement Enhancement and Savings Act of 2018 (RESA), addressing a number of important retirement policy issues. The bill has bipartisan support in the Senate and could be included in omnibus spending legislation expected to…Read More

October Three Selected a Winner in the 33rd Annual Telly Awards

The Telly Awards has named October Three as a Bronze winner in the 33rd Annual Telly Awards for their piece titled “Who We Are”. With nearly 11,000 entries from all 50 states and numerous countries, this is truly an honor. The video showcases October Three’s unique culture bringing revolutionary design and technology solutions to the…Read More