Retirement: Investment Advice
Legislative — proposals, bills and analysis from the 109th and 110th Congresses (2006-present)
Regulatory — administrative rules and information from U.S. offices and agencies
Judicial — current and past court cases and amicus briefs
Press Releases — Council statements and advisories to the news media
(Items in italic are available only to Council members.)
Official Source Documents
January 28, 2011 — GAO Report, 401(K) Plans: Improved Regulation Could Better Protect Participants from Conflicts of Interest
June 17, 2009 — Summary of Education and Labor HELP Subcommittee Chairman's Substitute to the Conflicted Investment Advice Prohibition Act (H.R. 1988)
June 17, 2009 — McCarthy Amendment to the Conflicted Investment Advice Prohibition Act (H.R. 1988)
June 17, 2009 — Education and Labor HELP Subcommittee Chairman's Substitute to the Conflicted Investment Advice Prohibition Act (H.R. 1988)
April 23, 2009 — Conflicted Investment Advice Prohibition Act (H.R. 1988)
Council Materials
October 1, 2009 — Council Testimony on Investment Advice before House Ways and Means Committee
July 9, 2009 — Council Summary of Investment Advice Legislative Issues
June 5, 2009 — Council Proposed Modification of H.R. 1988
June 1, 2009 — Council Comments on the Conflicted Investment Advice Prohibition Act (H.R. 1988)
Official Source Documents
October 24, 2011 — DOL Final Regulations on Investment Advice for Plan Participants and Beneficiaries
September 1, 2011 — Request for Comment by President's Advisory Council on Financial Capability Proposed Themes and Principles
October 21, 2010 — DOL Proposed Regulations on Definition of "Fiduciary"
February 26, 2010 — DOL Fact Sheet on Re-Proposed Investment Advice Regulations
February 26, 2010 — DOL Proposed Regulations on Investment Advice replacing prior 2009 guidance
November 19, 2009 — DOL Withdrawal of Final Investment Advice Regulations
November 16, 2009 — DOL Delay of Final Investment Advice Regulations Effective Date
July 10, 2009 — Treasury Department Proposed Investor Protection Legislation
July 10, 2009 — Treasury Department Fact Sheet on Investor Protection Legislation
February 3, 2009 — DOL Delay of Investment Advice Regulation Effective Date and Extension of Comment Period
January 21, 2009 — White House Memo Regarding Status of Pending Regulations
January 16, 2009 — DOL Final Regulations on Investment Advice
August 21, 2008 — DOL Proposed Regulations on Provision of Investment Advice
August 21, 2008 — DOL Proposed Class Exemption for Provision of Investment Advice
February 2, 2007 — Field Assistance Bulletin 2007-01 on Investment Advice Exemptions
December 1, 2006 — DOL Request for Information on Investment Advice Provision for Individual Account Plans
December 1, 2006 — DOL Request for Information on Investment Advice Provision for Individual Retirement and Similar Plans
Council Materials
September 22, 2011 — Council Comments to President's Advisory Council on Financial Capability Proposed Themes and Principles
May 4, 2010 — Council/ACLI/ICI Comment Letter to DOL/EBSA on Proposed Investment Advice Regulations
March 1, 2010 — Summary of Proposed Investment Advice Regulations (Courtesy of Davis & Harman, LLP)
March 6, 2009 — Council Comment Letter to DOL on Final Investment Advice Regulations
October 6, 2008 — Council Comment Letter to DOL/EBSA on Investment Advice Proposed Regulations
July 10, 2007 — Testimony of Melissa Kahn on Behalf of the American Benefits Council Before the ERISA Advisory Council Working Group on Financial Literacy
Health
Health Care Reform (PPACA), General & Misc. Items
- Employer Shared Responsibility
- Market Reforms & Adult Child/Age-26 Coverage
- Preventive Care & Value-Based Design
- Quality Improvement & Delivery Reform
- Essential Benefits
- Tax & Revenue Issues
- Grandfathered Plans
- Claims and Appeals
- Summary of Benefits & Coverage
- Informational Reporting/W2
- Health Insurance Exchanges
- State Innovation
- Medical Loss Ratio & Mini-Med Plans
- Automatic Enrollment
- Wellness Programs
- Accountable Care Organizations
- Non-Discrimination
- 90-Day Waiting Periods
Consumer-Directed Plans (HSAs/FSAs/HRAs)
Health Information Technology & HIPAA Privacy
Retirement
Defined Contribution/ 401(k) Plan Reform
- Automatic Enrollment
- Investments
- Plan fees
- Taxation of Retirement Plans/Limits
- Funding Reform
- PBGC Deficit & Premiums
- Business Conduct Standards
Retirement Plan Administration
Other Issues
Tax Reform, Deficit Reduction & Federal Budget
- FACTA Issues
- FBAR Issues
- Puerto Rico Plans
- Non-Qualified Deferred Compensation
- Code Section 409(A), 457(A), 162(m) issues
- Say-on-Pay
