As one source points out, the SEC’s advertising rules have not been substantively amended since 1961, long before social media and the dominance of the Internet—even before fax...
Both the Department of Labor and the Securities and Exchange Commission are revisiting their proxy voting rules, creating an opportunity for greater regulatory alignment.
Retirement plans of all sizes are seeing their recordkeeping fee schedules questioned, especially when those fees are expressed as a percentage of assets.
To guarantee or not to guarantee? For some of the leading recordkeepers and investment managers, that’s not a question they necessarily want to answer.
Timeline partners with Morningstar aggregation service; Watchdog Capital introduces securities platform; Principal Global Investors creates combined emerging markets fixed income...
The order comes after an important appellate ruling in the 9th Circuit endorsing the forced arbitration of ERISA claims, but notably, the lawsuit in question here was filed...
In addition to the sizable monetary settlement, the defense has agreed to certain changes in the way it pays for recordkeeping and administrative services—though MIT in the end...
A magistrate judge found that there are genuine issues of material fact as to whether Columbia acted prudently throughout the class period by not consolidating to a single...
While parties on both sides of the political spectrum are pushing for passage of the SECURE Act, one Washington insider who helped implement the Pension Protection Act says...