Compliance

Zach Gronich, President and CEO of RIA in a Box, says that advisers who will need to register at the state level should be aware of the paperwork...

As part of its efforts to comply with the President’s executive order for agencies to find ways to reduce regulatory burden, the U.S. Department of Labor has launched...

The Chicago Regional Office of the Employee Benefits Security Administration (EBSA) and the Internal Revenue Service (IRS) announced a Voluntary Fiduciary Correction Programs Workshop.

Four out of 10 U.S. employers expect to spend more time governing their employer-sponsored retirement plans over the next two years, according to a survey by Towers Watson.

The Securities and Exchange Commission (SEC) adopted rules that require advisers to hedge funds and other private funds to register with the SEC.  

The 3rd U.S. Circuit Court of Appeals affirmed a lower court ruling that AT&T did not violate the Employee Retirement Income Security Act (ERISA) and the Age Discrimination...

The Securities and Exchange Commission (SEC) announced that J.P. Morgan Securities LLC will pay $153.6 million to settle SEC charges that it misled investors in a complex mortgage...

The Securities and Exchange Commission (SEC) has come out with guidance on the timing of new requirements regarding security-based swaps under the Dodd-Frank legislation.

Those who have been waiting for the new Form 5500 EZ need wait no longer.

If you’re working with large retirement plans, and you’ve done a cash balance plan conversion, you may already be in the crosshairs of a new litigation trend.

The American Society of Pension Professionals & Actuaries (ASPPA) has responded to the U.S. Department of Labor’s (DoL) June 1 publication in the Federal Register. 

The Department of Labor’s (DoL) proposal for a new definition of fiduciary was discussed at the PLANSPONSOR National Conference—and a representative from the DoL was present to add...

U.S. Senator Ben Cardin (D-Maryland), a member of the Senate Finance Committee, has written a letter urging the Social Security Administration (SSA) to continue the production and mailing...

The U.S. Supreme Court has ruled that Janus Capital Group and a subsidiary cannot be held liable in a lawsuit by shareholders over allegedly false statements in prospectuses...

The American Society of Pension Professionals and Actuaries (ASPPA) submitted a letter to the Internal Revenue Service (IRS) suggesting improvements for submitting pre-approved defined contribution plans.

Mark Warmoth created two corporations since 1988, which manufactured nothing except tax-saving retirement plans for their founder, according to the U.S. Tax Court. 

In a letter to the Department of Labor (DoL), the SPARK Institute expressed its support for the proposed extension of the applicability dates for fiduciary-level and participant-level 408(b)(2)...

A judge this week dismissed a case alleging that because brokers are being paid for investment advice by 12(b)-1 fees, they should also be registered as investment advisers. 

The Pension Rights Center, a nonprofit consumer rights organization, believes that current safe harbor rules balance the interests of participants and beneficiaries, and the interests of efficient plan...

Secretary of Labor Hilda Solis filed an amicus brief with the U.S. Court of Appeals for the Fourth Circuit asking for a rehearing and reversal in the McCravy...