Compliance News PLANADVISER March/April 2019

Legislative and Judicial Actions

Reported by

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Compliance

September 8th, 2026

Senators Elizabeth Warren and Ron Wyden warned the self-regulator about the growing fraud associated with asset transfers between brokerages.

Compliance

September 3rd, 2026

Plaintiffs claim the plan lost $168 million because the employer maintained a fund that persistently underperformed and experienced mass outflows.

Data & Research

September 3rd, 2026

A Fidelity report found 401(k) balances grew by 10.5% over the quarter, a nearly six-year record.