Compliance

In an SEC filing, 3M said it was notified by the DOL in April 2015 that the agency was investigating its pension plan for violations of ERISA.

Losing tax-exempt status can affect the ability to offer 403(b) plans.

The amounts individuals and families can contribute to HSAs has increased.

Wagner Law Group says its volume submitter 403(b) plan has flexible design options to meet the needs of most 403(b) plan sponsors.

Passage of the CHOICE Act by the House Financial Services Committee could signal a further blow to conflict of interest regulations adopted by the Obama administration. 

As a new leader takes the helm at the SEC, advisers wonder whether the regulator’s recent focus on retirement industry conflicts of interest will be relaxed. 

The Senate has passed legislation mirroring House-approved measures that will eliminate the Obama-era DOL rules regarding exempting state- and municipality-run retirement plans from ERISA.

Of five claims that Starwood Hotels breached its fiduciary duties to its 401(k) plan, a district court judge has moved one forward.

The FSR suggests the Trump administration should support policies that will promote retirement savings and enable financial services providers to better meet the long-term needs of Americans in...

Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed. 

There is still a chance of proposals from the Trump administration and for discussions in Congress to come to fruition.

The latest decision in RJR vs. Tatum comes out of the 4th U.S. Circuit Court of Appeals, which has previously made multiple rulings on the long-running and procedurally complicated...

The newly confirmed Secretary of Labor, Alexander Acosta, will steer from the top the effort to either overturn or leave in place the Obama-era fiduciary rule and other...

The Shrinking Emergency Account Losses (SEAL) Act would allow employees to continue to contribute to their DC plans during the six months following a hardship withdrawal, among other...

The DOL's Employee Benefit Security Administration hopes a new initiative will help it “overcome the limitations seen in existing data collection activities.”

The agency offers two examples for determining the highest outstanding loan balance in the past year and says, "the law does not clearly preclude either computation."

The second amended complaint in a lawsuit accusing the Walt Disney Company of wrongdoing under ERISA fails to plausibly demonstrate that fiduciary breaches occurred, a district court ruled. 

The Trump Administration’s Department of Labor still has not amended or replaced the Obama-era fiduciary rule as it has pledged to do; it has simply issued a brief...

In the underlying complaint, the advisory firm was lumped together with the plan sponsor/recordkeeper and accused of permitting fiduciary breaches under ERISA. 

Fiduciaries of the Weinhagen Tire Company 401(k) Plan agreed to an order resolving the DOL's lawsuit claiming the fiduciaries allowed the misdirection and misuse of employee contributions.