Search results for: SCO

It Might Pay to Litigate Against FINRA

An annual study by Sutherland Asbill&Brennan LLP found that broker/dealers are often more successful than individuals in hearing panels against the Financial Industry Regulatory Authority (FINRA).

Firm Offers ERISA Fee Compliance Kit

Wealthcare Capital Management offers a “fee compliance kit” to help employers ensure that their 401(k) fee structure would meet Employee Retirement Income Security Act (ERISA) standards.

Got QDIA Questions? DoL Has Answers

The U.S. Department of Labor’s (DoL) Employee Benefits Security Administration has released a Q&A dealing with technical corrections to the final regulation on qualified default investment alternatives (QDIAs).