Skip to content

Menu

Published By Toth Law & Toth Consulting
HomeBioOur ServicesContact
Search
Close

The Business of Benefits

Making Sense of Retirement Plan Layers and Complexities

Security Compliance

Subscribe to Security Compliance via RSS

The SEC’s and DOL’s Cross Agency Retirement Plan “Compliance Waltz”

By Robert Toth on June 3, 2009
Posted in 403(b)

One of the natural byproducts of doing a lot of 403(b) work is a necessary familiarity with many of the security law rules which apply to retirement  plans. This familiarity is recently becoming handy on the 401(a) side of our business as well, with the SEC showing an increasing interest in all retirement plans. The…

More Resources

Firm Focus

Toth Law and Applied Pension Professionals support service providers who develop, distribute and maintain retirement plan products and services, as well as fiduciaries, boards, plan sponsors and individuals using these products. We provide unbiased advice related to complex product issues, ongoing administration and process improvement, and plan corrections.

Stay Connected

Subscribe via RSS Subscribe via RSS
Bob Toth on LinkedIn Bob Toth on LinkedIn
Conni Toth on LinkedIn Conni Toth on LinkedIn
Photo of Robert TothRobert TothPrincipal

Bob Toth has practicing employee benefits law since 1983. His practice focuses on the design, administration and distribution of financial products and services for retirement…

Bob Toth has practicing employee benefits law since 1983. His practice focuses on the design, administration and distribution of financial products and services for retirement plans.

Show more Show less
Photo of Conni TothConni TothManaging Pension Consultant

Conni Toth, co-founder and managing consultant for Applied Pension Professionals, LLC, brings more than 25 years of experience in retirement planning to the financial…

Conni Toth, co-founder and managing consultant for Applied Pension Professionals, LLC, brings more than 25 years of experience in retirement planning to the financial services industry.

Show more Show less

Topics

Archives

Recent Posts

  • The Engineers, Analysts and Operators of DC Lifetime Income
  • DC Plan Innovation and RLP
  • The In-Plan Annuity and the DOL’s New Advisory Opinion 2025-04.
  • 403(b) and the “Democratization” of Its Investments
  • Meaningful Lessons From DOL’s “Withdrawal of Withdrawal” of Plan Annuity Regs
Law Offices of Robert J. Toth, Jr LLC
P.O. Box 10719
Fort Wayne, IN 46853
Phone: (260) 387-6827
Fax: (260) 387-7485
Email: rjt@rtothlaw.com
Subscribe via RSS Bob Toth on LinkedIn Conni Toth on LinkedIn
Privacy PolicyDisclaimer
Copyright © 2026, Toth Law. All Rights Reserved.
Law blog design & platform by LexBlog LexBlog Logo