Compliance

A paper answering commonly asked questions about implementing automatic features for retirement plans is now available for plan sponsors.

The Securities and Exchange Commission (SEC) is again seeking public comment on rule amendments proposed in 2010 that would change the way target-date funds (TDFs) are marketed.

The Internal Revenue Service (IRS) will hold a phone forum next month about retirement plan terminations.

The U.S. Department of Labor (DOL) has filed a lawsuit to recover losses to the Cargill Heating & Air Conditioning Co. Inc. Savings Plan in La Crosse, Wisconsin.

Advocate Health Care Network in Illinois is the latest pension plan sponsor facing a challenge to its plan’s status as a “church plan.”

A federal court refused to dismiss a lawsuit against Saint Peter’s Healthcare System, holding that its retirement plan is not a “church plan” under the Employee Retirement Income...

The U.S. Department of the Treasury and the Internal Revenue Service (IRS) have issued guidance designed to more easily facilitate the transfer of savings from one retirement plan...

The Department of Labor is hosting its free compliance assistance seminar in Memphis, Tennessee, and Madison, Wisconsin.

The Pension Benefit Guaranty Corporation (PBGC) outlined a proposal it says makes it easier for participants in defined contribution (DC) plans to get higher returns and get lifetime...

The Securities and Exchange Commission (SEC) released guidance aiming to clarify how the testimonial rule barring certain marketing practices under the Investment Advisers Act applies to social media.

Many retirement plan committees do not have a charter, and often those that do find it fails to provide adequate guidance because it is not specific enough to...

Retirement plan sponsors have a two-year window to adopt newly updated pre-approved plan documents.

The Securities and Exchange Commission (SEC) has recently made analyses related to money market fund reform available to the public.

The Financial Industry Regulatory Authority (FINRA) imposed a $950,000 fine on LPL Financial LLC for supervisory deficiencies related to the sale of various alternative investment products.

The Department of Labor (DOL) has filed a lawsuit to remove and replace a 401(k) plan trustee for failing to perform his duties.

Judging whether conflict of interest rules permit an adviser to recommend rollovers—under both current law and the pending fiduciary redefinition—hinges on three important considerations.

The Internal Revenue Service (IRS) has modified Revenue Procedure 2013-22, which sets forth procedures for issuing opinion and advisory letters for § 403(b) pre-approved plans.

Ever wonder why so many different regulators are voicing concern over employer-sponsored retirement plan account rollover practices—especially rollovers into individual retirement accounts (IRAs)?

As new fiduciary rules mushroom, retirement plan advisers must keep instilling basics of fiduciary liability in plan sponsors and committee members.

The Department of Labor (DOL) announced that the fiduciary of a Cleveland, Ohio, 401(k) plan will repay funds to the plan.