Category Archives: Qualified Retirement Plans

New Fiduciary Rule Proposed By Labor Department Designed to Bolster Financial Advisor Fiduciary Responsibilities

The recent Department of Labor (DOL) proposed rule changes for financial advisors who provide investment advice to qualified pensions plan are intended to bolster the standards of care for investors. The new rules are intended to expand the definition of a fiduciary under the 1974 Employee Retirement Income Security Act (ERISA). The new fiduciary standard…

Sharing in Your Company’s Profits through Employee Stock Options

Corporate America has relied upon employee stock option plans as a valuable incentive program which aligns the company’s financial performance with employee compensation. Employees stock options are a form of non-cash compensation that employers offer to employees the option to purchase company stock at a specific price in the future. The two basic types of stock…

Is a Roth IRA a Good Retirement Vehicle for You?

A Roth IRA is a retirement account that allows an investor to make after-tax contributions that receive favorable tax treatment over the life of the account. The contributions and gains in the account grow without taxation and can be withdrawn tax free to provide retirement income. Not all taxpayers can qualify to make the…

Fiduciary Duties Managing Pension Assets within a Self-Directed Brokerage Account

It is natural to expect pension plan participants to seek financial advice concerning one of their largest financial assets. How can a financial advisor help provide financial advice and what responsibilities are owed according to the Employee Retirement Income Security Act of 1974 (ERISA) for their recommendations to pension plan participants. A financial advisor can provide…

Category Archives: Qualified Retirement Plans

New Fiduciary Rule Proposed By Labor Department Designed to Bolster Financial Advisor Fiduciary Responsibilities

Sharing in Your Company’s Profits through Employee Stock Options

Is a Roth IRA a Good Retirement Vehicle for You?

Fiduciary Duties Managing Pension Assets within a Self-Directed Brokerage Account

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