Phyllis Borzi

Type: Person

Name: Phyllis Borzi

First reported 10 hours ago - Updated 8 hours ago - 1 reports

Republicans Take Aim at DOL's Fiduciary Push

Jun. 19, 2013 by Megan Leonhardt in RulebookComments 0Related MediaNot So Fast: Congressional Letter Could Put a Kink in DOL’s ProposalHouse Republicans pushed back against the DOL’s fiduciary initiative on Wednesday, approving legislation aimed at stalling ... [Published WealthManagement.com - 10 hours ago]

Entities: Fiduciary, Phyllis Borzi, Ann Wagner, Push, Republican Party (US)

First reported Jun 18 2013 - Updated 13 hours ago - 3 reports

DOL's Borzi says fiduciary rule will be simple: clients come first

Official calls economic analysis "robust," says process is completely transparentThe Labor Department’s re-proposal on fiduciary duty is widely expected to land this fall, but Assistant Secretary Phyllis Borzi dropped a big hint on what the industry can ... [Published Investment News - 18 hours ago]

Entities: Phyllis Borzi, Fiduciary, Employee Retirement Income Security Act Of 1974, Labor

First reported Jun 13 2013 - Updated Jun 13 2013 - 1 reports

Employee Benefits Security Administration

DOL sues to recover $4.9 million for DB plan participants

The U.S. Department of Labor is attempting to recover $4.9 million for defined benefit plan participants of an Iowa iron casting foundry and a Michigan manufacturer.The DOL’s Employee Benefits Security Administration filed a suit claiming the fiduciaries ... [Published Senior Market Advisor - Jun 13 2013]

Entities: Fiduciary, ERISA, Employee Benefits Security Administration

First reported Jun 05 2013 - Updated Jun 05 2013 - 1 reports

Financial Industry Regulatory Authority

Regulation watch: Nine proposals advisors need to know

Megan Leonhardt, REP.Comments 0Changing of the GuardSome new faces will be popping up the SEC later this year, with economist Michael Piwowar slated to replace Republican commissioner Troy Paredes and market structure expert Kara Stein nominated to fill ... [Published WealthManagement.com - Jun 05 2013]

Entities: Fiduciary, Tax Reform, ERISA, Financial Industry Regulatory Authority, Money Market

First reported Jun 04 2013 - Updated Jun 04 2013 - 1 reports

SEC US Securities & Exchange Commission

DOL’s Borzi: Fiduciary Redraft Out a Couple of Months After July

Borzi and her team had said that a redraft would likely come in JulyMore On Legal & Compliancefrom The Advisor's Professional LibraryRecent Changes in the Regulatory Landscape 2011 marked a major shift in the regulatory environment, as the SEC adopted ... [Published AdvisorOne - Jun 04 2013]

Entities: Phyllis Borzi, Fiduciary, Ann Wagner, ERISA, SEC US Securities & Exchange Commission

First reported May 30 2013 - Updated May 30 2013 - 1 reports

US Department of Labor

Labor Department Intends To Require Added Information On 401(k) Statements

The United States Department of Labor (the "Department") has indicated it will propose a new rule that requires qualified participant 401(k)retirement plan statements to show the monthly income the participant can expect to receive over his/her life expectancy. ... [Published JD Supra - May 30 2013]

Entities: Phyllis Borzi, ERISA, US Department of Labor

First reported May 28 2013 - Updated May 28 2013 - 1 reports

The 2013 Broker-Dealer Presidents’ Poll

The more things change, the more they stay the same for our 2013 BD Presidents' Poll respondentsFee compression, regulation, succession planning, technology—the more things change, the more they stay the same for the 58 leaders of independent broker-dealers ... [Published AdvisorOne - May 28 2013]

Entities: Broker-Dealer, Phyllis Borzi, Stratosphere, Dodd-Frank, Fiduciary

First reported Mar 02 2013 - Updated Mar 03 2013 - 1 reports

All Eyes are on IRAs- over $5 Trillion Dollars and Growing!...

Now’s the time for IRA custodians, administrators and financial professionals to learn about the latest regulatory and legislative issues affecting self-directed IRAs at the upcoming conference hosted by the (RITA) to be held in Washington DC, March 20-21, ... [Published PRWeb - Mar 02 2013]

Entities: Phyllis Borzi, Custodian, Washington DC, Alternative Assets

Quotes

...there for them when they retire," said Phyllis Borzi, the assistant secretary of labor who heads the Employee Benefits Security Administration. "our aim is to make this right for those workers."

DOL sues to recover $4.9 million for DB plan participants [Published Senior Market Advisor - Jun 13 2013]

More Content

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Republicans Take Aim at DOL's Fiduciary Push [Published WealthManagement.com - 10 hours ago]
House Panel Approves Bill to Slow Fiduciary Rul... [Published Financial-Planning Interactive - 11 hours ago]
DOL's Borzi says fiduciary rule will be simple:... [Published Investment News - 18 hours ago]
DOL’s Borzi: Lawmakers Can’t Hold Back Fiduciar... [Published AdvisorOne - Jun 18 2013]
Fiduciary duty bill could kill DOL rule [Published Investment News - Jun 18 2013]
DOL sues to recover $4.9 million for DB plan pa... [Published Senior Market Advisor - Jun 13 2013]
JPMorgan, ADP to wind up 180 abandoned DC plans [Published LifeHealthPro - Jun 11 2013]
Regulatory Update: What's on the Horizon [Published WealthManagement.com - Jun 05 2013]
Regulation watch: Nine proposals advisors need ... [Published WealthManagement.com - Jun 05 2013]
DOL’s Borzi: Fiduciary Redraft Out a Couple of ... [Published AdvisorOne - Jun 04 2013]
JPMorgan, ADP to Wind Up 180 Abandoned DC Plans [Published AdvisorOne - Jun 03 2013]
Labor Department Intends To Require Added Infor... [Published JD Supra - May 30 2013]
The 2013 Broker-Dealer Presidents’ Poll [Published AdvisorOne - May 28 2013]
All Eyes are on IRAs- over $5 Trillion Dollars ... [Published PRWeb - Mar 02 2013]