Compliance

A number of firms that manage money market mutual funds have made comments to the Securities and Exchange Commission (SEC) about proposed reforms of such funds.

The Internal Revenue Service (IRS) released the cost-of-living adjustments for 2014, which affect dollar limitations for pension plans and other retirement-related items.

The House voted Tuesday to pass the Retail Investor Protection Act, which would delay any fiduciary updates issued by the Department of Labor (DOL) or the Securities and...

While attendees of a U.S. House subcommittee hearing agreed that the U.S. multiemployer pension system needs to be improved, they had differing opinions on how to achieve this.

The Social Security Administration (SSA) has announced a 1.5% benefit increase for 2014.

Updates to the Department of Labor’s (DOL) fiduciary definition could hinder financial advisers’ efforts to target retirement plan clients for individual retirement account (IRA) rollovers.

The two-week government shutdown in October delayed the U.S. Department of Labor’s (DOL) work on the fiduciary redefinition, according to Assistant Secretary of Labor Phyllis Borzi.

The American Society of Pension Professionals & Actuaries (ASPPA) made several recommendations to the Internal Revenue Service (IRS) about proposed regulations for plan filings on magnetic media.

The Internal Revenue Service (IRS) has rescheduled a phone forum that didn’t take place due to the government shutdown.

The American Society of Pension Professionals & Actuaries (ASPPA) has asked the Internal Revenue Service (IRS) for clarification on mid-year amendments to safe harbor 401(k) plans.

The industry-wide focus on improving fee transparency and reasonability has not significantly reduced litigation risks for financial advisers and others acting as retirement plan fiduciaries, according to Dan...

Washington’s warning to slash tax-deferral incentives associated with 401(k)s and individual retirement accounts (IRAs) tops advisers’ challenges in 2014, according to Brian Graff, executive director of the American...

A report from the Financial Industry Regulatory Authority (FINRA) scrutinizes  conflicts of interest in the broker/dealer industry to highlight effective practices to eradicate such conflicts.

Admitting that the Securities and Exchange Commission (SEC) has resources “not nearly sufficient to the enormity and scope of the responsibility” it faces, SEC Chairman Mary Jo White...

The U.S. Supreme Court has agreed to weigh in on a case that could have far-reaching implications for litigation against Employee Retirement Income Security Act (ERISA)-covered plans.

Relaxing rules and increasing coverage for part-time workers would improve retirement savings for employees of small employers, hearing witnesses told a House committee.

A report from the Office of Inspector General for the Department of Labor (DOL) shows concern about the use of alternative investments in retirement plans.

Matrix Financial Solutions, a Broadridge company, released a practice guide to help advisers understand proposed changes to ERISA fiduciary rules.

The Financial Industry Regulatory Authority (FINRA)’s board  approved a proposal requiring brokers to disclose compensation paid as an incentive to move to a new firm.

Word that the Department of Labor (DOL) is stepping up its enforcement is being backed up by the number of actions being announced.