Compliance

ASPPA Requests Audit Relief for 403(b)s

ASPPA and a group of 403(b) plan professionals have renewed their appeal to the government for additional relief for 403(b) sponsors struggling to meet new compliance requirements of...

SPARK Examines SEC Fiduciary Study

The SPARK Institute hosted a Webinar Wednesday that discussed how “harmonization” would work if broker/dealers (B/Ds) and registered investment advisers (RIAs) were to work under a uniform fiduciary...

RadioShack Settlement Deemed Fair

A federal judge in Texas gave final approval to a $2.4-million settlement of a class-action suit against RadioShack for breaching its fiduciary duty.