Compliance

A former employee of Boston Scientific Corp., who dropped out of a previous lawsuit before it was dismissed, has filed a new lawsuit alleging the company breached its...

A Florida law that went into effect January 1 includes stronger suitability requirements that agents must meet when selling an annuity to a consumer.

The Certified Financial Planner Board of Standards, Inc. (CFP Board), is looking for public comment about proposed revisions to its Disciplinary Rules and Procedures.

A federal judge in Ohio has reversed course on a company stock suit filed by former Owens-Corning employees with a new ruling that the suit was filed too...

Merrill Lynch&Co. Inc. agreed Tuesday to pay $1.55 million to settle a lawsuit claiming discrimination in the firing of an analyst because he was an Iranian Muslim, Reuters...

Ringing out the old year, today the U. S. Department of Labor (DoL) has unveiled another final regulation.

Reserve Management might be facing enforcement action from the Securities and Exchange Commission (SEC) in connection with the failure of the firm's mutual fund.

The U.S. District Court for the Eastern District of Michigan has denied a motion to dismiss a case brought by participants of Ford Motor Co.’s employee stock ownership...

A bill signed into law by the president only provides relief from the mandatory distribution regulations for 2009.

The Internal Revenue Service (IRS) will allow investments in a Section 529 program to be changed on a more frequent basis in 2009.

And no, not in the way you may think.

President George W. Bush on Tuesday signed into law a broad pension relief bill that includes a one-year moratorium on required minimum distribution (RMD) rules.

In a letter to a top Congressional lawmaker this week, the Treasury Department said it will not suspend the required minimum distribution (RMD) requirement for 2008.

The list of retirement plan victims of a huge Ponzi scheme authorities claim was run by Bernard Madoff continues to grow.

The wealthy and large institutional investors were not the only victims of the $50-billion Ponzi scheme orchestrated by Wall Street trader Bernard Madoff.

Due to new 403(b) regulations, plan sponsors and their advisers have faced the task of deciding on procedures for information-sharing to and from plan vendors.

President-elect Barack Obama is expected to tap U.S. Representative Hilda Solis (D-California) as the next Secretary of Labor, according to widespread media reports Thursday.

The U.S. Department of Labor Employee Benefits Security Administration (EBSA) recognized $1.2 billion in monetary results and helped spark 101 criminal indictments in fiscal year 2008, the agency...

President George Bush will sign into law a bill suspending a requirement that seniors take a required minimum distribution (RMD) from retirement accounts in 2009, the White House...

President-elect Barack Obama has reportedly chosen Mary Schapiro, CEO of the Financial Industry Regulatory Authority (FINRA), to chair the Securities and Exchange Commission.