As the defined contribution (DC) arena becomes more complex and competitive for financial advisers, Morgan Stanley Smith Barney (MSSB) is focusing its efforts on a lineup of retirement...
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...
Fund managers polled late last year were significantly more optimistic about their business prospects than those surveyed at mid-year, according to Cerulli Associates.
In 2009, exchange-traded funds (ETFs), including exchange-traded notes (ETNs) drew $114.4 billion in net inflows, according to Strategic Insight, an Asset International company.
Kravitz, provider of cash balance plan design and administration, is launching a series of free Cash Balance Administration workshops and Webinars for plan sponsors.
Schwab Performance Technologies (SPT), a provider of technology solutions for registered investment advisers (RIAs), announced changes to its pricing structure.
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...
The year 2009 proved to be a recovery year for the fund industry after a brutal 2008 that saw shareholders dump their funds en masse, according to Morningstar...
The U.S. exchange-traded fund (ETF) industry closed out 2009 with $785 billion in assets under management, according to Morningstar Direct's latest Fund Flows Update.
The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) will host a free Webcast about Form 5500 and electronic filing requirements on January 21 at 1 p.m.
A new study suggests mutual fund companies might no longer need to keep in place short-term redemption fees that were imposed in 2003 as a result of controversy...
A class-action lawsuit has been filed against Spokane, Washington-based Sterling Savings Bank and its holding company, Sterling Financial Corporation, over company stock investments in the bank's 401(k) Plan.
Among the specialized units unveiled by the Securities and Exchange Commission (SEC) is a unit focusing on investigations involving investment advisers.