Compliance

A judge left until later the issue of whether passively managed funds and actively managed funds are proper comparators.

A bipartisan group of representatives is seeking to require the Securities and Exchange Commission to revise its rules regarding the development and offering of certain annuity products.

The district court ruling in the case, now backed by an appeals court, stands out for having been filed alongside...

Those participating in a Senate Finance Committee hearing discussed ways to boost employees’ retirement savings, help with financial wellness and...

The Encouraging Americans to Save Act would expand the saver’s tax credit and add a COVID-19 recovery bonus for middle- to low-income workers.

All firms involved have agreed to settle the allegations that they missed regulatory deadlines for the customer relationship summaries.

The agency clears up timing questions in a FAQs document and says it realizes the concerns about timing if its...

The suit says the solution directed participant contributions into high-cost investments.

Democratic lawmakers in the House and Senate say the bill is needed to help address longstanding retirement insecurity issues—and to address some of the negative impacts of the...

Congressional leaders and asset management executives say they are committing to furthering legislation to expand coverage and boost savings

The appeals court has technically affirmed, vacated and reversed parts of a district court ruling that granted summary judgement against...

The firm is accused of failing to take sufficient steps to monitor customer accounts for further payments to a former adviser—himself accused of substantial wrongdoing—whose registration last lapsed...

The lawsuit suggests that MetLife had an imprudent and disloyal preference for its index fund products, in part because of...

The agency has added two correction methods for overpayments by DB plans and expand the ability to correct an operational...

The lawsuit challenges the company's use of an active TDF suite in its 401(k) plan, among other things.

A subsidiary of TIAA will settle conflict of interest charges related to the provision of rollover advice to employer-sponsored retirement...

A previous court decision left only one claim in the lawsuit, which was related to fee disclosures.

The settlement includes a stipulation to perform a recordkeeper RFP.

The complaint alleges that the plaintiff met the test for employee status per prior case law, but Yum misclassified him...

The ERISA Advisory Council was told brokerage windows serve a special purpose and onerous regulations could discourage their use.