NAGDCA Weighs in on Securities and Exchange Commission’s Proposed Fiduciary Rules

We previously have reported on the evolution of the Department of Labor’s (DOL) Fiduciary Rule, widely considered among the most important consumer protection changes in recent history.  In March, the Fifth Circuit Court of Appeals ruled 2-1 that the DOL had exceeded its authority when issuing the fiduciary regulations, which stopped the rules protecting an … Continue reading NAGDCA Weighs in on Securities and Exchange Commission’s Proposed Fiduciary Rules

Developing an Effective Employee Education Program

One of the principles of fiduciary duty is to provide your employees and participants with a variety of educational opportunities so they can position themselves to make informed investment decisions.  It’s not always easy to know what your participants need, want or will take advantage of.  Using a simple framework for your educational program may … Continue reading Developing an Effective Employee Education Program