Compliance

The 6th U.S. Circuit Court of Appeals has revived a lawsuit against Fifth Third Bank concerning company stock holdings in its employee retirement plan.

“The main thing is… don’t get excited.”

The Financial Industry Regulatory Authority (FINRA) announced that Vice Chairman Stephen Luparello is leaving to join the WilmerHale law firm in Washington, D.C.

A federal appellate court found a multiemployer pension plan’s determination of a participating employer’s withdrawal liability was excessive.

The Internal Revenue Service (IRS) announced its plan phone forum about fixing 403(b) plan mistakes is full.

A.B.D. Tank & Pump Co. in Elmhurst, Illinois, has been ordered to restore $2,767,051 to the company’s retirement plan.

In a webinar sponsored by Sammons Retirement Solutions, Andrew Friedman of The Washington Update discussed the Bush tax cuts.

Janus Capital Group has come up with 10 ways advisers can help clients mitigate higher ordinary income tax and...

 A federal judge has approved calculations for an award to former participants in Alliant Energy Corp.’s cash balance plan. 

Next month, Transamerica Retirement Plan Services will host a legislative outlook webinar for third-party administrators (TPAs) and advisers.

Form PF is a challenge, but it will provide registered investment advisers with detailed—and marketable—portfolio insight, Thomson Reuters said...

Mary Schapiro, chairman of the Securities and Exchange Commission (SEC), said Wednesday the commission called off a vote to reform the structure of money market funds.

The Internal Revenue Service (IRS) announced a retirement plans phone forum, “EPCRS: Correction of 401(k) Plan Mistakes,” for September 7.

Thirteen trade associations filed a comment letter with the Securities and Exchange Commission (SEC), outlining objections to a proposal that would increase regulation on money market funds.

Ron Rhoades, the chair-elect for the National Association of Personal Financial Advisors (NAPFA) for 2012-13, announced he would resign.

The U.S. Department of Labor (DOL) is suing to restore $34.6 million in assets to two pension funds for employees of auto supplier Metavation.

Employees at Truman Medical Centers (TMC) sued the hospital for changing their retirement plans.

A federal appellate court has determined a plan administrator was right in bypassing a deceased retirement plan participant’s stepchildren when distributing his account.

All the controversy regarding the Department of Labor’s (DOL’s) guidance about fee disclosures for brokerage windows may have overshadowed its guidance for model portfolios. 

Social media offers an opportunity to build your brand. But send a seemingly innocent tweet – or “like” the wrong Facebook page – and you could step into...