Compliance

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.

The Securities and Exchange Commission (SEC) said that William M. Stephens solicited investors and was paid fees, but never registered as a broker. 

 Is the Department of Labor (DOL) stepping on toes with its guidance about target-date fund (TDF) selection?   

Defined benefit (DB) plan sponsors have new guidance concerning new disclosure requirements mandated by the Moving Ahead for Progress in the 21st Century Act (MAP-21).

Annuity contracts can bring up several Employee Retirement Income Security Act (ERISA)-related issues that plan sponsors should consider.

 The  “Power Attorney Debate” at NAPA/ASPPA 401(k) Summit covered key issues for 2013.

With care, individual retirement account (IRA) rollovers from 401(k)s are possible.

 The Department of Labor’s (DOL) Employee Benefits Security Administration (EBSA) prepared general guidance to assist plan fiduciaries in selecting and monitoring target-date funds (TDFs).