Compliance

Another participant in Fidelity Investments’ own retirement plan has brought a lawsuit saying participants paid excessive fees.

The Bipartisan Budget Act of 2013, signed into law in December, increases both the flat- and variable-rate single-employer Pension Benefit Guaranty Corporation (PBGC) premiums.

The Financial Industry Regulatory Authority (FINRA) has ordered Stifel, Nicolaus & Company, Incorporated and Century Securities Associates, Inc. to pay fines and restitution to customers in connection with...

Jim Poe and Associates Inc. received $637,843 from nonqualified clients, according to the Securities and Exchange Commission (SEC). 

A plan sponsor’s request that a retiree return nearly $730,000 in overpaid pension benefits has won court approval.

The Pension Benefit Guaranty Corporation (PBGC) is moving the flat-rate premium due date for large plans to later in the premium payment year.

Reviewing firm practices for recommending and marketing individual retirement account (IRA) rollover services will be a 2014 priority for the Financial Industry Regulatory Authority (FINRA).

The retirement industry is anticipating a fiduciary re-definition and rules about lifetime income illustrations for plan participants, but there is much more in the pipeline.

A federal appellate court has vacated a ruling about offsetting pension benefits and remanded the case back to a district court.

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.