Compliance

The Department of Labor (DOL) is seeking to restore losses to an employee stock ownership plan (ESOP) based in Warsaw, Indiana.

The Financial Industry Regulatory Authority (FINRA) is soliciting comments on a proposal to standardize and automate account activity and security reviews for its members.

The Department of Labor (DOL) hopes to remove the trustee of a 401(k) plan based in Elgin, Illinois.

Retirement plan sponsors can now submit voluntary closing agreement requests to the Internal Revenue Service (IRS) Employee Plans Voluntary Compliance function.

The Internal Revenue Service (IRS) has updated two publications relating to 403(b) plans.

One year after new Department of Labor (DOL) fee disclosure rules, do sponsors know how much their defined contribution plans cost?

The Department of Labor (DOL) has received court authorization to compel the trustee of a profit-sharing plan in Aiea, Hawaii to restore mismanaged plan assets.

The Supreme Court upheld the ruling of two lower courts in a case testing litigation limitations in plans covered by ERISA.

A number of states have released guidance regarding state income taxation for same-gender married couples.

The Internal Revenue Service (IRS) has temporarily addressed the problem of discrimination defined benefit (DB) plan sponsors may have due to closed plans.

A new report urges U.S. retirement plan regulators to examine and emulate other countries’ efforts to improve employee spend-down options for post-retirement years.

The U.S. Supreme Court has agreed to hear a case raising fiduciary issues and questions about what constitutes prudent investment decisionmaking within employee stock ownership plans (ESOP).

A federal district court has issued a judgment that authorizes the appointment of an independent fiduciary for an Indiana 401(k) plan.

The Internal Revenue Service (IRS) has issued more guidance about in-plan rollovers into Roth accounts.

The Internal Revenue Service (IRS) has issued the 2013 Cumulative List of Changes in Plan Qualification Requirements (2013 Cumulative List).

A group of retirement industry advocacy groups are urging the Treasury Department to ensure same-gender spouse rule changes won't apply retroactively for qualified retirement plans.

Retirement plan advisers can get their fiduciary responsibility questions answered during a Department of Labor (DOL) seminar in New York City.

A federal court order appointed an independent fiduciary for a Holtsville, New York retirement plan.

The Department of Labor (DOL) has released informational copies of the new Form 5500.

The American Society of Pension Professionals and Actuaries (ASPPA) is petitioning regulators for easy-to-apply guidance to add same-gender spouses to qualified retirement plans.