Compliance

The GAO recommends an alternative to rolling over small retirement plan balances to individual retirement accounts...

The investment management firm F-Squared Investments has agreed to pay $35 million and admit wrongdoing to settle fraud charges brought by the Securities and Exchange Commission (SEC).

An updated IRS web page tells retirement plan sponsors how to correct the mistake of using...

The Internal Revenue Service offers one-page checklists to help with reviewing retirement plan operations.

Several regulations and pieces of guidance issued in 2014 will have a lasting impact on retirement plans.

With invigorated provider interest and new guidance from key regulators, 2014 turned out to be an important year for annuities in employer-sponsored retirement plans.

The U.S. Treasury issued final regulations establishing a new type of electronic retirement savings bond designed to serve as the backbone of the president’s myRA program.

Retirement plan advisers get a glimpse of any changes in Form 5500 filing requirements from the newly released...

The Securities and Exchange Commission (SEC) may soon require investment advisers to create transition plans.

After 13 years and a number of court opinions, all granting relief in the plaintiff’s favor,...

Responding to a request for information from the DOL, most industry groups said they believe no further regulation is necessary to govern use of brokerage windows in retirement...

A brief submitted by the U.S. Solicitor General to the United States Supreme Court argues in favor of plaintiffs in Tibble v. Edison International—a case that could have...

An updated page on the IRS website shares what records retirement plan sponsors should keep and for how long.

Trends, legislation, regulations and litigation will continue to affect the retirement industry in 2015.

The Cumulative List will primarily be used by single employer individually designed defined contribution plans and single employer individually designed defined benefit plans that are in Cycle E.

The Department of Labor wants to request new industry input and create focus groups about the...

A lawsuit has been filed that some say is the first to cite the Supreme Court case about whether retirement plan fiduciaries have a presumption of prudence for...

Experts from Drinker Biddle & Reath LLP had no shortage of topics to cover in a recent discussion about potential regulatory and legislative actions related to employer-sponsored retirement...

Two updated publications from the IRS discuss the employee plans examination process and appeal procedures.

With acronyms like ADP, ACP, NHCEs, and HCEs, the technicality of 401(k) plan nondiscrimination testing may seem overwhelming.