Compliance

The National Association of Insurance Commissioners is seeking to update its rules and restrictions on the sales of annuities so they better harmonize with the SEC’s Regulation Best...

The limit on deferrals to 401(k), 403(b) and most 457 plans has been increased by $500.

Responding to a case against Intel 401(k) plan fiduciaries, U.S. attorneys say just because retirement plan participants receive investment disclosures doesn't mean they have actual knowledge that a...

It’s not just the financial services industry pushing for passage of the Setting Every Community Up for Retirement Enhancement Act; chambers of commerce, consumer advocacy groups and major...

As one source points out, the SEC’s advertising rules have not been substantively amended since 1961, long before social media and the dominance of the Internet—even before fax...

Both the Department of Labor and the Securities and Exchange Commission are revisiting their proxy voting rules, creating an opportunity for greater regulatory alignment.

Retirement plans of all sizes are seeing their recordkeeping fee schedules questioned, especially when those fees are expressed as a percentage of assets.

The order comes after an important appellate ruling in the 9th Circuit endorsing the forced arbitration of ERISA claims, but notably, the lawsuit in question here was filed...

On their third try, participants in CenturyLink's 401(k) plan get a recommendation that one claim move forward.

In addition to the sizable monetary settlement, the defense has agreed to certain changes in the way it pays for recordkeeping and administrative services—though MIT in the end...

A magistrate judge found that there are genuine issues of material fact as to whether Columbia acted prudently throughout the class period by not consolidating to a single...

The lawsuit points out Goldman Sachs offered lower-cost investment vehicles to institutional clients that it did not use in its own 401(k) plan.

While parties on both sides of the political spectrum are pushing for passage of the SECURE Act, one Washington insider who helped implement the Pension Protection Act says...

Advisory firms waiting to see whether the 2nd Circuit will delay or outright halt the implementation of the SEC's Regulation Best Interest are wasting precious time.