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Charles Schwab notified counsel for the plaintiffs in a consolidated class action lawsuit relating to the Schwab YieldPlus Fund that it is invoking the termination provisions of the...

At the Securities Industry and Financial Markets Association’s (SIFMA) annual meeting, a panel of industry executives expressed concerns about the regulations, but kept an optimistic tone.  

C&K Market Inc. agreed to restore $3 million in cash plus interest and to sell property in order to make restitution for a series of imprudent loans made...

For the first time in five months, 401(k) participants’ asset transfers were equity oriented after a long run of being fixed-income directed, according to the latest Aon Hewitt...

James McCrary joined SageView Advisory Group as a Retirement Plan Consultant in the West Team.

ETF industry assets rose $39.9 billion last month, up 4.5%, to $925 billion, according to the latest data from State Street Global Advisors (SSgA).

ING DIRECT's ShareBuilder 401k expanded its profit sharing 401(k) plan to allow small-business owners to award different levels of contributions to their employees based on group-specific criteria.

Plan advisers and sponsors can help participants take an in-depth look at their retirement situation with the new tool from Nationwide.

After two years of resolving to do better with their finances, Americans are putting relaxing and having fun at the top of their New Year’s resolutions list.

A study found that institutional investors’ satisfaction with their investment managers is greatly influenced by client service and can be managed regardless of the economic climate or investment...

Retirement planning is the most difficult financial task for those participating in a recent study of retirement and savings trends by Hearts & Wallets.

The morning after last week’s mid-term elections, a plan sponsor friend of mine called me up and asked me what I thought it all meant.

The mutual fund trade industry’s voice has weighed in on the 12b-1 debate – and, as might be expected, they aren’t keen on some of...

Looking for insights on those new hybrid plan regulations?

When it comes to employee benefit plans, the Internal Revenue Service (IRS) has laid out its work plan for next year.

The Internal Revenue Service announced that some requests for an extension of Form 5500 filing have been inadvertently denied and plan sponsors received denial letters in error.

EPIC Advisors, a defined contribution recordkeeper, announced that Jim Genthner will be the new president.

The “Form ADV Part 2 Brochure Template” will help investment advisers with the new required format based on the recent Securities and Exchange (SEC) rule update.

New absolute return portfolios are designed to deliver positive performance over a reasonable timeframe regardless of the ups and downs of the market.