Compliance

The Connecticut Supreme Court has blocked a move by state Attorney General Richard Blumenthal to publicize confidential subpoenaed business documents from a Florida insurance brokerage. 

The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) has launched an online index for locating individual exemptions granted under the Employee Retirement Income Security Act (ERISA). ...

The owner of the New York Mets has been sued for the role he allegedly played in wiping out a participant’s 401(k) account. 

The Department of Labor has decided not to grant a blanket extension for filers of Form 5500 and Form 5500-SF.

The Internal Revenue Service (IRS) said it will be issuing detailed guidance about the special funding rules for single-employer defined benefit plans in the recent Pension Relief Act...

The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) is taking its “Getting It Right – Know Your Fiduciary Responsibilities” seminar to Philadelphia.

An employer’s cash balance plan did not cut older employees’ accrual rate because of age so it did not violate the Age Discrimination in Employment Act (ADEA), a...

As anticipated, the Securities and Exchange Commission is looking for public comments as it undertakes a new look at adviser standards. 

The Select Sector SPDR Trust has sued a competitor for “creating investor confusion” by using ETF ticker symbols it says are “astoundingly similar” to those...

New York state Comptroller Thomas DiNapoli has filed separate suits against Bank of America (BofA) and its Merrill Lynch unit for losses connected with BofA’s purchase of Merrill...

As if there wasn’t enough uncertainty swirling around the financial services industry at present, the Securities and Exchange Commission (SEC) wants to make changes to...

Certain provisions of the financial reform legislation approved by the U.S. Senate last week may affect financial advisers.  

Last week the Department of Labor released its “interim final regulation” under ERISA Section 408(b)(2) related to the disclosure of fees by service providers.

A federal judge in Ohio ruled that a 401(k) profit-sharing plan and two participants can press forward with their lawsuit alleging that Principal Life Insurance Co. breached its...

 A retirement services industry group has sent a letter to federal officials urging they put off the deadline for filing the Form 5500 and 5500SF for the 2009...

After months of anticipation, the Department of Labor (DoL) has released its interim final rule on fee disclosure.