Compliance

A tentative settlement has been reached in a lawsuit concerning excessive fees for 401(k) investments.

The U.S. Department of Labor (DOL) will be offering two seminars about retirement plan compliance and fiduciary responsibilities.

Lawmakers in several states have proposed the idea of state-run retirement plans for private sector workers, a move that some say could be bad news for advisers.

Nine organizations asked for more time to make comments about lifetime income illustrations for defined contribution (DC) plan participants.

The House Committee on Financial Services passed a bill Wednesday that would collar expected rulemaking from the Department of Labor (DOL) to amend the fiduciary definition.

The Investment Company Institute (ICI) expressed opposition to a Securities and Exchange Commission (SEC) proposal to reform money market funds.

Florida’s governor enacted legislation on Monday making it a notice-filing state for branch office applications.

An appellate court reversed the dismissal of an Employee Retirement Income Security Act (ERISA) class action against Amgen, Inc. and an Amgen subsidiary.

The Securities and Exchange Commission (SEC) charged Revlon with violating federal securities laws by misleading shareholders during a "going private transaction."

The Internal Revenue Service (IRS) has scheduled a phone forum about FICA Replacement Plans.

Blake Richards of Buford, Georgia, was enjoined by a federal court from committing more violations of the securities laws.

The SPARK Institute submitted a request for guidance to the U.S. Department of Labor (DOL) about the ongoing deadline for furnishing participant fee and investment disclosure materials.

The Securities and Exchange Commission (SEC) charged Chauncey C. Mayfield with stealing nearly $3.1 million from a pension fund and using the money to buy strip malls.

A panel of attorneys at the PLANSPONSOR National Conference talked about 10 topics that should be on plan fiduciaries’ radars.

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...