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

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

Official Source Documents

July 9, 2009 — Parsons v. Anheuser-Busch QDIA Complaint

Council Materials

DC Plan/401(k) Reform

U.S. Department of Labor


Health

Health Care Reform (PPACA), General & Misc. Items

Taxation of Health Benefits

Consumer-Directed Plans (HSAs/FSAs/HRAs)

Health Information Technology & HIPAA Privacy

Health Plan Administration

Miscellaneous Health

COBRA

ERISA Preemption

Genetic Non-Discrimination

Medicare

Mental Health Parity

Retiree Health/ERRP

Retirement

Defined Contribution/ 401(k) Plan Reform

  • Automatic Enrollment
  • Investments
  • Plan fees
  • Taxation of Retirement Plans/Limits

Defined Benefit Plans & PBGC

  • Funding Reform
  • PBGC Deficit & Premiums

Hybrid Plans

Financial Reform/Swaps

  • Business Conduct Standards

Investment Advice

Retirement Plan Administration

Miscellaneous Retirement

Retiree Health

Savings Initiatives/IRAs

Social Security

Other Issues

Tax Reform, Deficit Reduction & Federal Budget

International Issues

  • FACTA Issues
  • FBAR Issues
  • Puerto Rico Plans

Electronic Disclosure

Executive Compensation

  • Non-Qualified Deferred Compensation
  • Code Section 409(A), 457(A), 162(m) issues
  • Say-on-Pay

Fiduciary Issues

Flexible Workforce/
Worker Classification

Miscellaneous Issues

Disaster Relief

Stock-Based Compensation