Compliance

The head of the U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) will host a live public Web chat to discuss its regulatory agenda.

In a new report, the Government Accountability Office (GAO) made suggestions to the U.S. Department of Labor (DoL) to address plan sponsor and provider confusion over new reporting...

The U.S. Department of Labor (DoL) said it is investigating how it can best encourage the use of lifetime annuities or other similar instruments.

Advisers could be looking at some changes on target-date funds next year—and maybe a change in certain mutual fund fees.

A new bill aims to inform participants of how their account balances translate into actual income in retirement. 

On Monday, the U.S. Department of Labor will present video remarks by Secretary Hilda L. Solis outlining the department’s regulatory agenda.

The Internal Revenue Service has issued Revenue Ruling 2009-40, providing the table of covered compensation for the 2010 plan year for use in determining contributions to defined benefit...

The 8th U.S. Circuit Court of Appeals has vacated a district court's dismissal of a suit alleging Wal-Mart Stores, Inc. breached its fiduciary duties to 401(k) participants by...

A federal judge in New Hampshire has given final approval of a $70.5-million settlement of a stock-drop suit against Tyco International.

The U.S. Department of Labor's Employee Benefits Security Administration (EBSA) has scheduled a fiduciary education seminar for December 8 in St. Louis.

The state of Oregon has reached a $20-million settlement with MassMutual Financial Group's OppenheimerFunds Inc. of losses in a bond fund in the state's 529 college-savings plan.

House Republican Leader John Boehner (R-Ohio) today blasted the decision by the Obama Administration to withdraw the final regulations on investment advice.

A group of 401(k) participants is seeking court approval of a $4.25 million out-of-court settlement of a stock-drop lawsuit against their employer Monster Worldwide Inc.

The long saga of the U.S. Department of Labor’s (DoL) hotly debated investment advice rule took another twist today when the DoL’s Employee Benefits Security Administration (EBSA) announced...

California Attorney General Edmund G. Brown Jr. announced a $1.4-billion settlement with three Wells Fargo affiliates to pay back investors, charities, and small businesses that purchased auction-rate securities...

The Financial Industry Regulatory Authority (FINRA) said that supervisory failures at MetLife Securities allowed two brokers to engage in undisclosed outside business activities that cost clients millions of...

The Financial Industry Regulatory Authority (FINRA) will make records of final regulatory actions against brokers permanently available to the public through the BrokerCheck service.

The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) announced Monday that it is giving itself until May 17, 2010, to develop a new version of its...

U.S. Department of Labor (DoL) officials have cautioned plan administrators that they should not share their PIN numbers for the EFAST2 electronic document filing system.

A Georgia state court has sentenced the owner of the Hoyla Insurance Group to a five-year jail term and 15 years of probation, after his guilty plea to...