4c. ALL – Essential Issues Impacting Retirement Accounts (Intermediate)

A firm?s retirement accounts such as IRAs and employer-sponsored retirement plans are subject to the Employee Retirement Income Security (ERISA) and the Internal Revenue Code (Code), which are substantially different than other laws applicable to such accounts. More recently, these accounts have been the subject of particular scrutiny by the SEC and FINRA. The purpose of this session is to address some of the essential issues impacting these accounts.

Learning Objectives:

  • Identify retirement accounts and entities subject to ERISA and the Code.
  • Understand conflict mitigation and elimination requirements under ERISA and the Code
  • Discuss the pooling of retirement accounts in multiple employer plans (MEPs) and pooled employer plans (PEPs) after the enactment of the SECURE Act
  • Hear about initiatives by the SEC and FINRA targeting retirement accounts


Sponsored by:

Intermediate                        Program Level: Date: October 19, 2020 Time: 3:45 pm - 5:00 pm David Kaleda Linde Murphy

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