Compliance

The U.S. Department of Labor's Employee Benefits Security Administration (EBSA) has released an interactive calculator to help employers and plan administrators who faltered on annual reporting requirements accurately...

The Keller Rohrback L.L.P. law firm has is investigating State Street Global Advisors (SSgA) and State Street Bank&Trust Company for potential violations of the Employee Retirement Income Security...

Advanced copies of the 2007 Form 5500 Annual Return/Report of Employee Benefit Plans and related instructions were released Wednesday by the U.S. Department of Labor (DoL), the Internal...

The Treasury Department and the Internal Revenue Service (IRS) on Tuesday issued a notice providing guidance on the corporate bond yield curve and associated segment rates to be...

On Tuesday, Senator Hillary Rodham Clinton (D-New York) proposed legislation that would ensure a dollar-for-dollar government match on the first $1,000 in employee 401(k) contributions and would offer...

The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) on Tuesday unwrapped a new Web site designed to help employers better comply with federal employee benefit laws...

The Internal Revenue Service (IRS) has released a list of the 11 most common mistakes made in the administration of 401(k) plans and how to correct or avoid...

Retirement industry groups told the U.S. House Education and Labor Committee last week that a legislative proposal calling for greater disclosure of 401(k) fees would be too overwhelming...

Attorneys General in Alaska and Idaho are looking into possible legal action against State Street Corp. over losses their state retirement funds suffered investing in two enhanced index...

The testimony presented at last week’s hearing by the House Education and Labor Committee on the issue of 401(k) fees was remarkably consistent, IMHO, certainly compared with the...

A federal judge in Connecticut has cleared the way for the trustees of five 401(k) plans to pursue their claims that Nationwide Financial Services was a fiduciary because...

The Prudential Retirement Insurance and Annuity Co. (PRIAC) on Monday filed suit against State Street Global Advisors (SSgA) over losses in SSgA-managed funds for which PRIAC claims the...

The U.S. House Education and Labor Committee will hold a hearing Thursday to discuss a proposal requiring greater 401(k) fee disclosure by plan sponsors and providers.

Despite the variety of advisers, practices, business models, and broker-dealer affiliations at our recent PLANADVISER National Conference, there was a remarkable degree of convergence of purpose in evidence.

A group representing individual investors has released a study asserting that a Wall Street watchdog has too easily allowed brokers to expunge client complaints from their records –...

Scrutiny of fees has never been more intense. A panel of advisers discussed how they are responding to the environment while protecting their bottom line.

The U.S. Federal Reserve gave its nod to a regulation allowing banks to continue selling some securities products and services without having to register as brokers with the...

Concerns about unscrupulous financial advisers using faux designations to mislead individual investors have resulted in a number of state initiatives to crack down on how these designations are...

The Securities and Exchange Commission (SEC) has issued a cease-and-desist order against pension consultant Callan Associates for failing to tell its clients about an outside business relationship that...

Democratic presidential hopeful Senator Joe Biden has put forth his plan to help Americans save for retirement.