Compliance

A federal judge in South Florida has thrown out virtually all of the allegations leveled against U.S. Sugar Corp. of Clewiston, Florida, in a class action lawsuit.

JPMorgan Chase&Co. did not violate the Employee Retirement Income Security Act (ERISA) with its 1989 conversion to a cash balance pension plan and subsequent plan amendments, a court...

The Financial Industry Regulatory Authority (FINRA) said it fined Centaurus Financial, Inc. (CFI) $175,000 for its failure to protect certain confidential customer information.

The Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service—to make records of final regulatory actions against brokers permanently available to the public,...

Although it is too early to tell what will become of the proposed advice legislation, it raises practical application questions.

Members of the U.S. House GOP’s Savings Solutions Group on Wednesday introduced the Savings Recovery Act, a bill designed to “help families protect what they have and begin...

A bill was introduced in the House of Representatives to update the investment advice regulations to the Pension Protection Act to allow for independent investment advice.

The Health, Employment, Labor, and Pensions Subcommittee of the U.S. House Education and Labor Committee held a hearing on Wednesday about fee disclosure to retirement plan participants.

Legislation about full fee disclosure was introduced in the U.S. House.

The American Recovery and Reinvestment Act of 2009 raise questions for small-business owners about how to make changes required under the new law.

ERISA’s 404(c) has long been held out by some as something of a magic talisman.

The U.S. District Court for the District of New Hampshire determined that Tyco International Ltd. cannot use Employee Retirement Income Security Act (ERISA) section 404(c) protection in its...

According to a new analysis, lawsuits related to the Employee Retirement Income Security Act (ERISA) are increasing in number and complexity in terms of combinations of allegations.

If you think you've seen them all, check out these creative tax deductions.

The Internal Revenue Service (IRS) used PLANSPONSOR's 403(b) Summit to unveil the next step in the tax agency’s efforts to move 403(b) plans closer to their 401(k) cousins.

The Internal Revenue Service has published some sample prototype 403(b) language – and wants to know what you think.

A federal appellate court has thrown out a lower court decision in favor of Ameriprise Financial in a dispute over whether its fund fee structure violated Section 36(b)...

The U.S. Department of Labor has subpoenaed Tribune Co. in an investigation connected to the media company's employee stock-ownership plan (ESOP).

A Fairfield, Connecticut, podiatrist has been ordered to restore assets to his firm’s 401(k) plan that were stolen by an investment management firm and to pay a civil...

The top official of a Horsham, Pennsylvania-based medical management consulting firm has been indicted in federal court on charges that he stole employees' retirement contributions.