Bookmark and Share

408(b)(2) Requirements Toolkit

On May 7, 2012, the Department of Labor (DOL) issued guidance to help plan administrators and service providers comply with the requirements of new rules 408(b)(2) and 404(a), which are designed to improve the transparency of fees and investment expenses in retirement plans.

 

FSI has made available several resources on the new requirements, as well as the Guidelines for Implementing the New Requirements.

 

The following links provide updates on the implementation of the new requirements:

 

 

   DB-Regulation Impact on BDs

 		  The Final 408(b)(2) Regulation: Impact on Broker-Dealers

    /uploadedImages/FSI_Content/Advocacy_Action_Center/The_Issues/408(b)(2)_Requirements/DB_FieldAssistanceBulletinRegarding404a-5.jpg

  Field Assistance Bulletin Regarding 404a-5 

   /uploadedImages/FSI_Content/Advocacy_Action_Center/The_Issues/408(b)(2)_Requirements/DB_Asset Allocation Models.jpg

  Asset Allocation Models

   /uploadedImages/FSI_Content/Advocacy_Action_Center/The_Issues/408(b)(2)_Requirements/DB_HedgeFundsandProhibitedTransactions.jpg

  Hedge Funds and Prohibited Transactions

 /uploadedImages/FSI_Content/Advocacy_Action_Center/Past_Issues/Department_of_Labor/DOL-logo.jpg

  DOL Revises FAB Question 30

     /uploadedImages/FSI_Content/Advocacy_Action_Center/The_Issues/408(b)(2)_Requirements/ThreeAdvisoryOpinions_image.JPG

  DOL Issues Three Advisory Opinions on Whether MEP, 403(b) Arrangements Constitute ERISA Plans

 

 /uploadedImages/FSI_Content/Advocacy_Action_Center/The_Issues/408(b)(2)_Requirements/ERISAReformforBDs.JPG

ERISA Reform for Broker-Dealers & Investment Advisers: A Ten-Step Guide to Compliance

 

 /uploadedImages/FSI_Content/Advocacy_Action_Center/The_Issues/408(b)(2)_Requirements/PRI-AdvisorBrief.JPG

  PRI Advisor Brief, Challenges & Opportunities

 

  DOL Finalizes ERISA Disclosure Requirements

  DOL Finalizes ERISA Disclosure Requirements for Retirement Plan Service Providers