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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...

A listing of the fastest-growing active fund managers in 2009 includes mostly smaller firms.

U.S. investors’ use of bond mutual funds reached record levels in 2009.

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.

The T. Rowe Price Retirement Target-Date Fund family came out in the lead of Russell Investments’ top five funds of the fourth quarter of 2009.

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.

Charles Schwab Investment Management, Inc. (CSIM), has launched two new exchange-traded funds (ETFs) focused on emerging markets and international small-cap equities.

Sallie Krawcheck, head of the global wealth and investment management division at Bank of America (BofA), said reports of brokers leaving in droves are greatly exaggerated, Reuters reported.

Bank of America (BofA) said its latest Merrill Lynch survey of affluent Americans found that almost a third (29%) of non-retired respondents plan to retire later than originally...

Wells Fargo and its Evergreen Funds affiliate have been tidying up their fund lineups.

Institutional investment consultant Rogerscasey has struck a deal with Lowenhaupt Global Advisors (LGA) to offer Rogerscasey’s institutional investment expertise to families and individuals served by Lowenhaupt Global Advisors.