Compliance

A court ruled an executive’s supplemental retirement plan assets are not protected by his employer’s creditors.

Legislation introduced by Congresswoman Maxine Waters would give the Securities and Exchange Commission (SEC) the authority to impose user fees on investment advisers.

Without significant changes, the SEC cannot fulfill its mandate for examinations of investment advisers, said Elisse Walter, commissioner of the Securities and Exchange Commission (SEC).

The U.S. Department of Labor (DOL) is co-sponsoring a webcast to provide financial education for younger workers and college seniors.

The ERISA Advisory Council recommended steps the Department of Labor (DOL) should take to improve the beneficiary designation process.

The ERISA Industry Committee (ERIC) is urging lawmakers to proceed with caution when considering changes to the tax treatment of retirement savings.

Matthew Hutcheson of Eagle, Idaho, was found guilty after just a few hours’ deliberation by the jury.

Since the release of the proposed fiscal year 2014 budget by President Obama, opinions  have differed on how retirement-related provisions will potentially affect retirement savings.

A provision in President Obama’s Fiscal Year 2014 budget that pertains to employee stock ownership plans (ESOPs) could result in a disincentive for offering the plans.

Timothy J. Roth, a former investment adviser in Stonington, Illinois, was barred from association with any broker/dealer or adviser by the Securities and Exchange Commission (SEC).

Companies can announce key information in compliance with Regulation Fair Disclosure on Facebook, Twitter and other social media, the Securities and Exchange Commission (SEC) said.

The Government Accountability Office (GAO) recommends regulators take certain steps to reduce obstacles and disincentives to plan-to-plan rollovers.

The Internal Revenue Service (IRS) offers material on its website about international issues affecting retirement plans in the U.S.

Two senators introduced legislation that would give individuals who take a loan from their retirement accounts more time to repay after leaving a job.

The Securities and Exchange Commission (SEC) released an update to clarify how investment companies can use social media without running into filing requirements.  

The Securities and Exchange Commission (SEC) charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance of a fund.

The Department of Labor’s (DOL) Employee Benefits Security Administration (EBSA) has resources for participants to learn about plan fees.

Frederick J. O’Meally had a final judgment entered against him by a federal court in New York stemming from an action filed by the Securities and Exchange Commission...

Another lawsuit has been filed against Fidelity Investments regarding its use of float income.

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) requires that swap transactions go through a clearing process.