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Pending Regulations

Proposed regulations on state-based retirement plans for private-sector workers (January 2016)

The Pension Rights Center submitted comments on the U.S. Department of Labor’s proposed regulations that would allow the creation of certain state-legislated retirement savings plans that would be exempt from the Employee Retirement Income Security Act of 1974 (ERISA).

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Proposed Rule on Conflicts of Interest in Investment Advice (November 2015)

The Pension Rights Center submitted comments to the Department of Labor (DOL) and testified at a hearing in support of the department’s proposed revision of the definition of “fiduciary.” The proposed definition describes the circumstances under which a financial adviser becomes a fiduciary and must give advice in the best interest of the customer, avoiding all conflicts of interest unless they are expressly allowed.

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Proposed regulations on the recovery of pension plan overpayments (July 2015)

The Pension Rights Center submitted comments to the Internal Revenue Service (IRS) on procedures for the recoupment (recovery) of overpayments made to participants.

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Proposed IRS regulations that could undermine workers' legal rights without public input (September 24, 2012)

The Pension Rights Center submitted comments to the Internal Revenue Service, objecting to a proposed delegation of authority to the IRS Commissioner to issue certain rules without public notice and comment.

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Definition of the Term ‘‘Fiduciary’’ (February 3, 2011)

The Department of Labor has proposed a regulation expanding the definition of the term "fiduciary".

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Proposed Regulations on Target Date Funds (January 14, 2011)

The Department of Labor has proposed regulations on "target date" funds.  If adopted, the proposed regulations would require 401(k) plans to give employees more information about a type of mutual fund that changes the percentage of stocks and bonds held in the fund as people grow older.

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Proposed Rule on Investment Advice

The Department of Labor has proposed regulations for 401(k) plans wishing to provide investment advice to workers and their families. Read the Pension Rights Center's comments.

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Proposed Regulations and Class Exemption on Investment Advice

The Department of Labor has proposed regulations for 401(k) plans wishing to provide investment advice to workers and their families. Norman Stein submitted comments on behalf of the Pension Rights Center.

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Proposed Model Cutback Notice

The U.S. Department of Labor’s Employee Benefits Security Administration has proposed a model notice [PDF] that will be sent to workers in multiemployer plans whose pensions may be reduced because their pension plan is severely underfunded.

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Automatic Contribution Arrangements

The Internal Revenue Service has issued proposed regulations regarding automatic contribution arrangements, also known as automatic enrollment. The Pension Rights Center submitted comments.

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