• Skip to primary navigation
  • Skip to main content
  • Skip to footer

Castle Rock Investment Company

Independent Guide, Trusted Partner.

  • Home
  • About Us
    • Our Team
    • Community Involvement
    • Our Commitment to You
  • Services
    • Individual Financial Planning
    • Qualified Plan Services
  • Education
    • Employee Education
    • Fiduciary Training
  • Blog
  • Contact Us

Employee Retirement Income Security Act of 1974

408(b)(2) Regulation Checklist

June 14, 2012 by admin

The Department of Labor (“DOL”) published its final regulations under Section 408(b)(2) of the Employee Retirement Income Security Act of 1974 (ERISA) in February 2012, specifying the disclosure requirements of retirement plan service providers (“fee disclosure rules”).  Plan sponsors as “responsible plan fiduciaries” of covered plans must ensure that they receive all of the information that service providers are obligated to furnish by July 1, 2012.

Castle Rock Investment Company has compiled a checklist to help plan sponsors determine if their plan is covered, which service providers are obligated to comply with the fee disclosure rules, and a brief summary of the disclosures plan sponsors should receive.

408(b)(2) Regulation Checklist

If you have questions about the checklist, please contact Michele Suriano at 303-725-7086.

 

 

Filed Under: Advice, Blog, Castle Rock Investment Company, Fiduciary, Uncategorized Tagged With: 408(b)(2), 408(b)(2) Regulation Checklist, Employee Retirement Income Security Act of 1974

Footer

About Us

Castle Rock Investment Company, formed in 2006, is an independent woman-owned SEC-registered investment adviser located in Castle Rock, Colorado. We specialize in individual financial plans and qualified service plans.

Sign up to hear about events:

From the Blog

State Farm and Edward Jones React to the Fiduciary Rule

By Mack Bekeza With April 10th, 2017 quickly approaching, a large number of investment firms and insurance agencies are scrambling to comply with the DOL fiduciary regulation. However, some firms believe they have found a solution to the upcoming rule. Knowing that their representatives cannot put their clients’ interest first, State Farm and Edward Jones […]

  • Twitter
  • LinkedIn
  • Facebook
  • YouTube

© Copyright 2006-2017 · Castle Rock Investment Company · All Rights Reserved