A working group established by the Senate Committee on Finance shows support for a number of proposals to reform the American retirement savings system.
Appeals court rules on the validity of certain posthumous qualified domestic relations orders, and whether divorce settlement agreements qualify as or supersede QDROs.
Fitch Ratings warns the proposed fiduciary rule language from the DOL would substantially impact current adviser and investment fund provider business models.
Wells Fargo, Raymond James and LPL have been ordered to pay more than $30 million in restitution, including interest, to customers for failing to waive mutual fund sales...
The 9th U.S. Circuit Court of Appeals refused to again revisit an amended decision in a long-running and complicated stock drop suit impacted by the Supreme Court’s Dudenhoeffer decision.
A district court in Colorado has granted in part and dismissed in part a motion from Great-West to dismiss a class action lawsuit alleging the company breached fiduciary...
SEC staff intends to revamp focus on registered investment advisers and broker/dealers selling investment products to retail investors and retirement savers.