Compliance

The Department of Labor’s (DOL’s) Employee Benefits Security Administration (EBSA) issued Field Assistance Bulletin (FAB) No. 2012-02R, which supersedes Field Assistance Bulletin No. 2012-02. On May 7, the...

 Industry groups are urging a federal appellate court to uphold a ruling for judicial deference to a plan administrator in interpreting a plan under ERISA.

The U.S. Department of Labor's Employee Benefits Security Administration issued Field Assistance Bulletin (FAB) No. 2012-02R, which supersedes Field Assistance Bulletin No. 2012-02.

Employee Retirement Income Security Act (ERISA) retirement plans will have more time to comply with new rules concerning swaps.  

The Financial Planning Coalition welcomed the Investment Adviser Examination and Improvement Act of 2012, while the Bachus self-regulatory organization...

FINRA’s proposed fee hikes for new applications and branch office registrations would force many independent broker/dealers (IDBs) out of business, the Financial Services Institute (FSI) said.

Practice management seminars and informational materials are among the supports The Hartford rolled out for advisers to explain 401(k)...

The Internal Revenue Service (IRS) has made it clear that it will look for information sharing between 403(b) plan sponsors and vendors with 2009 plan audits.

An official from the Department of Labor (DOL) said further guidance may be issued regarding the treatment of brokerage windows in participant fee disclosures.

The SEC is better suited to oversee independent advisers, the National Association of Personal Financial Advisors argues.

The Commodity Futures Trading Commission (CFTC) voted to finalize definitions and exemptions as part of the new regulatory regime for over-the-counter (OTC) derivatives.

  The Securities and Exchange Commission (SEC) took another step toward regulating over-the-counter (OTC) derivatives by approving rules and interpretations for key definitions of certain derivative products.      

The Department of Labor’s Employee Benefits Security Administration (EBSA) announced a workshop in South Carolina for retirement plan fiduciaries.

 Six in ten employers surveyed are hoping for full repeal of the Patient Protection and Affordable Care Act...

The Department of Labor’s (DOL) participant fee disclosure requirements go into effect August 30, and the majority of plan sponsors surveyed are ready.

Florida broker saw lunar effects on the stock market, but managed to miss the Securities and Exchange Commission (SEC) fraud charges coming his way.

Gary J. Martel, of Chelsea, Massachusetts, was charged by the Securities and Exchange Commission (SEC) with defrauding investors of $1.6 million. His assets were also frozen.

The deadline is approaching to amend affected deferred compensation arrangements to comply with Code Section 409A requirements for payments contingent on execution of a release of claims.

Thomas Brown Hammond was sentenced Wednesday to four years and nine months in prison for retirement fund theft.

The Securities and Exchange Commission (SEC) released amendments to the pay-to-play rule under the Investment Advisers Act of 1940.