Compliance

In the years since the Supreme Court handed a decision establishing strict standards for proving standing, very few stock drop cases have made it past the motion to...

Adding to a busy year of acquisitions for the aggregator firm, this will be CAPTRUST’s first location in Colorado.

The rule implements the registration requirements for PEPs pursuant to the SECURE Act

Plaintiffs claim that as a jumbo plan, Amway had substantial bargaining power regarding investment fees and expenses.

The IRS has issued final regulations on mortality tables to be used for calculating required minimum distributions, which reflect longer life expectancies.

The participants claim they were mislead and intimidated to sell their shares back to the company at a price significantly lower than fair market value.

A purchase agreement allowing the company to emerge from Chapter 11 bankruptcy does not include the pension plan debts or assets, despite its comparatively strong funding position.

SECURE Act-based guidance from the IRS will allow for distributions of custodial accounts under rules similar to those that have been available for annuity contracts under a 403(b)...

The lead plaintiff in the suit says her employer, a large financial services company, has inappropriately prioritized its own investments within a profit sharing retirement plan offered to...

The defendants argued that they lacked standing to recover losses for investments in which they did not invest.

A former participant in the Allstate 401(k) plan accuses plan fiduciaries of keeping poorly performing target-date funds on the investment menu and as the plan's default investment.

The final version of the regulation emphasizes the importance of using only ‘pecuniary’ factors in the assessment of investment options within tax-qualified retirement plans, rather than expressly limiting...

What both candidates have proposed as it relates to the retirement industry. 

One notable feature is that account holders can deduct from their own income the amount of HSA contributions made to their account by other people—but not the employer.

The bipartisan piece of legislation includes provisions that have long been popular among retirement industry stakeholders, including the elimination of barriers to allow greater use of lifetime income...

Staff members of the Securities and Exchange Commission share some words of wisdom for advisers and broker/dealers newly subject to the Regulation Best Interest framework.

The limit on contributions by employees who participate in 401(k)s, 403(b)s and most 457 plans remains unchanged at $19,500.

The state’s Insurance Department Rule 82, which may soon be updated to match a suitability framework recently adopted by the National Association of Insurance Commissioners, seeks to address...

The SECURE Act's provisions for pooled employer plans (PEPs) did not apply to 403(b) plans.