Compliance

The Council of Institutional Investors has requested additional guidance from the Securities and Exchange Commission (SEC) to prevent insider trading.

The case against Ameriprise Financial Inc. over its 401(k) investment options is moving forward with a pretrial conference date set for early next month.

A judge approved a collective bargaining agreement between an airline and a pilots association.

The federal court system will hear a case challenging Pennsylvania’s mandatory retirement age for judges.

The San Diego County district attorney convicted a financial planner for his part in a $4 million retirement fund scheme.

A pension fund is leading a class-action lawsuit against NYSE Euronext.

Since the 404(a)(5) disclosure regulation went into effect in August, sources say they have seen little response from participants.

An omission from a retirement plan’s summary plan description (SPD) does not entitle a widow to a greater spousal benefit, a court found.

The Internal Revenue Service (IRS) website explains what defined contribution (DC) plan sponsors can do if they fail to timely deposit withheld salary deferrals.

A case claiming Ameriprise Financial favored its own affiliate funds in its 401(k) investment lineup has moved forward.

The Internal Revenue Service (IRS) has issued the 2012 Cumulative List of Changes in Plan Qualification Requirements.

Low- and moderate-income workers can take steps now to save for retirement and earn a special tax credit, according to the Internal Revenue Service (IRS).

The Department of Labor’s (DOL’s) Employee Benefits Security Administration (EBSA) proposed a rule to help Chapter 7 bankruptcy trustees distribute retirement plan assets.

 A group of senators introduced a resolution recognizing the importance of current incentives for retirement savings.   

Regulators released advance informational copies of the 2012 Form 5500 annual return/report and related instructions.

The American Society of Pension Professionals & Actuaries (ASPPA) asked the IRS to issue guidance clarifying the application of the one-year “holdout” rule.

The American Benefits Council has unveiled a six-point plan to address the ongoing, accelerated decline in defined benefit pension plans.

The Department of Labor (DOL) issued compliance information for employee benefit plans adversely affected by Hurricane Sandy.

The Securities and Exchange Commission filed 147 enforcement actions against investment advisers and investment companies, one more than the previous year’s record number.

In the coming weeks and months, lawmakers will focus on tax reform.