Compliance News
Legislative and Judicial Actions
SEC approves shareholder proposal, fiduciaries of Mutual of Omaha plan settle, and more.
Reported by PLANADVISER staff
To access this premium content, please sign up for a free account!
You Might Also Like:
SEC Fines 12 Firms $63M for Failing to Maintain Proper Electronic Records
The SEC has charged nine investment advisers and three broker/dealers for violations of federal recordkeeping laws.
DOL’s Retirement Savings Lost and Found Database Goes Live
The database centralizes information for lost retirement accounts and provides guidance to claim funds.
DOL’s Khawar, Among Architects of New Retirement Fiduciary Rule, To Step Down
The career EBSA official who had been appointed by Biden to principal deputy assistant secretary will be leaving January 20.