The Securities and Exchange Commission (SEC) voted Wednesday to propose rules that would reform the way money market funds operate to make them less susceptible to runs that...
A coalition of organizations urged Mary Jo White, chairman of the Securities and Exchange Commission (SEC), to establish a uniform fiduciary standard for broker/dealers and advisers.
In a comment letter, the ERISA Industry Committee (ERIC) urged the Pension Benefit Guaranty Corporation (PBGC) to maintain existing regulations on reportable events requirements.
The Securities and Exchange Commission (SEC) charged Blake Richards, a registered representative of a broker/dealer, with misappropriating retirement savings from widows or widowers.
The American Society of Pension Professionals & Actuaries (ASPPA) filed a comment letter with the Internal Revenue Service about in-plan Roth conversions.
On top of the fine from the Financial Industry Regulatory Authority (FINRA), LPL Financial LLC was ordered to establish a $1.5 million fund for customers affected by email...
The New York State Department of Taxation and Finance decided a lump-sum payment from the non-qualified retirement plans of a bankrupt plan sponsor was not subject to state...
The U.S. Department of Labor (DOL) is seeking comments about rules for lifetime income illustrations provided to defined contribution (DC) plan participants.
The bill, SB 814, affects financial services firms with affiliated financial advisers in Florida, regardless of where the firm’s headquarters are located.