Compliance

Blake Richards of Buford, Georgia, was enjoined by a federal court from committing more violations of the securities laws.

The SPARK Institute submitted a request for guidance to the U.S. Department of Labor (DOL) about the ongoing deadline for furnishing participant fee and investment disclosure materials.

The Securities and Exchange Commission (SEC) charged Chauncey C. Mayfield with stealing nearly $3.1 million from a pension fund and using the money to buy strip malls.

A panel of attorneys at the PLANSPONSOR National Conference talked about 10 topics that should be on plan fiduciaries’ radars.

The Securities and Exchange Commission (SEC) voted Wednesday to propose rules that would reform the way money market funds operate to make them less susceptible to runs that...

Even for companies that had full transparency before fee disclosure regulations, 408(b)(2) and 404(a)(5) still prompted change in their businesses.

There’s no shortage of legislation and regulatory guidance to keep track of, according to panelists at the 2013 PLANSPONSOR National Conference.

A coalition of organizations urged Mary Jo White, chairman of the Securities and Exchange Commission (SEC), to establish a uniform fiduciary standard for broker/dealers and advisers.

In a comment letter, the ERISA Industry Committee (ERIC) urged the Pension Benefit Guaranty Corporation (PBGC) to maintain existing regulations on reportable events requirements.

A significant part of the 403(b) regulations passed in 2007 was the requirement that plans be maintained pursuant to a written plan document.

Regulators are offering relief for certain payment and filing deadlines for plan sponsors affected by the recent storms in Oklahoma.

A court has rejected a retiree’s attempt to continue receiving pension overpayments caused by a glitch in a plan consultant’s computer system.

The Internal Revenue Service (IRS) is hosting a phone forum about the new 403(b) Pre-Approved Plan Program. 

The Securities and Exchange Commission (SEC) charged Blake Richards, a registered representative of a broker/dealer, with misappropriating retirement savings from widows or widowers.

The U.S. Department of Labor (DOL) will be offering two seminars about retirement plan compliance and fiduciary responsibilities.

The Department of Labor (DOL) Employee Benefit Security Administration’s (EBSA) budget has decreased for 2014, but this will not affect enforcement.

The American Society of Pension Professionals & Actuaries (ASPPA) filed a comment letter with the Internal Revenue Service about in-plan Roth conversions.

On top of the fine from the Financial Industry Regulatory Authority (FINRA), LPL Financial LLC was ordered to establish a $1.5 million fund for customers affected by email...

Congressmen have introduced a bill to modify the definition of fiduciary under the Employee Retirement Income Security Act (ERISA).

 The New York State Department of Taxation and Finance decided a lump-sum payment from the non-qualified retirement plans of a bankrupt plan sponsor was not subject to state...