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A Massachusetts plumbing and air conditioning supply company sued State Street over allegations it misrepresented a bond fund ultimately invested in mortgage-backed securities as a low-risk 401(k) investment...

Genworth Financial, Inc., launched its new wealth management division, Genworth Financial Wealth Management, Inc.

Putnam Investment Management, LLC, will pay the first distribution of $40 million to compensate its mutual fund investors affected by undisclosed market timing and excessive short-term trading.

The Securities and Exchange Commission (SEC) ushers its financial reporting capabilities into a new era with the successor to the EDGAR database.

The Municipal Securities Rulemaking Board (MSRB) said it revised its exam for 529 college savings plan dealers.

A FRC report predicts that the market for assets rolled over from employer plans should approach $500 billion by 2013.

A recent survey of small business owners by SurePayroll found that only one-third of small businesses currently offer 401(k) plans to their employees, and 45% of small business...

FundQuest’s Institutional Spectrum platform is now available to financial advisers at Fintegra Financial Solutions.

Mutual fund assets worldwide decreased 5.1% to $24.81 trillion at the end of the first quarter of 2008—the first quarterly decline in nearly four years, according to Investment...

They aren’t jumping up and down about the market conditions, but independent advisers think we’ve seen the lowest point, according to a Schwab Institutional study.

Scott Fremer will lead business development efforts for Schneider Downs Wealth Management Advisors’ growing 401(k) practice, the company said.

401(k) participants moved assets out of equity into fixed-income investments again in July – a month that saw participant transfers favoring the latter on more than 90% of...

I’m old enough to have been a driver (albeit a young one) the last time we had a “real″ gas crisis.

The GAO says plan service providers—including advisers—should better disclose fiduciary and fee agreements.

The Securities and Exchange Commission (SEC) said Wachovia agreed to a preliminary settlement of $9 billion.

In a Nationwide case, a judge rules that fiduciaries can bring contribution and indemnification claims against co-fiduciaries under ERISA.

JPMorgan and Morgan Stanley settled lawsuits Thursday, while UBS was slapped with another one from New Hampshire regulators.

The Internal Revenue Service (IRS) released an in-depth rewrite of its correction programs for retirement plan sponsors who have not complied with tax laws for a period of...

Principal Funds said its new tool aids financial professionals in designing an effective wealth transfer strategy for clients.

Defined benefit (DB) retirement plans are a less costly benefit for employers than a defined contribution (DC) plan, according to research from the National Institute on Retirement Security...