Compliance

The Securities and Exchange Commission (SEC) hasn’t taken a position on climate change—but it has offered some new guidance on how firms should take that potential into account...

A federal judge in Illinois has turned away allegations by 401(k) participants at Kraft Foods Global that recordkeeping fees paid to Hewitt Associates were too high and the...

The U.S. Department of Labor's Employee Benefits Security Administration has released to the public online datasets of Form 5500 annual report/returns for approximately 800,000 retirement, health, and other...

A federal court judge has given preliminary approval to a partial settlement in a lawsuit accusing Hartford Life Insurance Co. and Neuberger Berman Management of entering into revenue...

A Pennsylvania law firm has announced it is investigating potential claims against Motorola Inc. in regards to company stock in its 401(k) plan and employee stock purchase plan.

The Obama Administration on Monday released retirement initiatives, including establishing automatic individual retirement accounts (IRAs), simplifying and expanding the Saver's Credit, and updating 401(k) regulations to increase transparency.

A former Morgan Stanley institutional financial adviser has settled Securities and Exchange Commission (SEC) charges of securities law violations for not properly disclosing his conflicts of interest.

Broker/dealers and their reps confused about regulations regarding social networking might now have some answers.

An employee lawsuit filed against Spokane, Washington-based Sterling Financial has been dropped—and for a most unusual reason.

A Bensalem, Pennsylvania, law firm has announced it is considering filing a stock-drop lawsuit against State Street Corporation with potential claims of Employee Retirement Income Security Act (ERISA)...

The SPARK Institute has released the final version of its guidelines on Form 5500 Aggregation for multiple-vendor 403(b) plans.

A closely watched case involving the dismissal of a lawsuit alleging excessive 401(k) fees by Deere & Co. won’t get a hearing before the nation’s highest court.

Two teachers have filed a lawsuit against VALIC, claiming the firm misled them about purchasing annuities for their 403(b) accounts.

A Department of Labor (DoL) administrative law judge has rejected the appeal by a 401(k) plan administrator of an $86,500 civil penalty, ruling that bankruptcy did not relieve...

A federal judge in Massachusetts has rejected claims that a deceased 401(k) participant’s plan balance should have been paid to his estate instead of to his ex-wife, who...