Compliance

An order from White House Chief of Staff Rahm Emanuel will delay two Department of Labor (DoL) fee disclosure regulations and possibly slow down a recently published advice...

With the ink barely dry on the Department of Labor’s final regulations on investment advice, two Democratic Congressmen have promised to block it.

A soon-to-be published rule from the Department of Labor (DoL) adds an exemption for investment advice to the Pension Protection Act (PPA).

President-elect Obama and Democrats in Congress hope to keep the estate tax instated in 2010, according to a report in the Wall Street Journal.

The Internal Revenue Service (IRS) has modified reporting requirements applicable to required minimum distributions (RMDs) from individual retirement accounts (IRAs) to reflect the waiver of the RMD rules...

In Notice 2009-8, the Internal Revenue Service has published guidance on the application of §457A to nonqualified deferred compensation plans of nonqualified entities.

Drawing a distinction between claims to recover pension benefits and those to collect damages in a pension dispute, a federal judge has given a former JP Morgan Chase...

A federal district court judge has consolidated lawsuits that have been filed against Bear Stearns Companies Inc. since its collapse last year.

The law firm of Stember Feinstein Doyle&Payne, LLC, is investigating conduct that it believes might have caused losses to the KV Pharmaceutical Company Profit Sharing Plan and Trust.

A former employee of Boston Scientific Corp., who dropped out of a previous lawsuit before it was dismissed, has filed a new lawsuit alleging the company breached its...

A Florida law that went into effect January 1 includes stronger suitability requirements that agents must meet when selling an annuity to a consumer.

The Certified Financial Planner Board of Standards, Inc. (CFP Board), is looking for public comment about proposed revisions to its Disciplinary Rules and Procedures.

A federal judge in Ohio has reversed course on a company stock suit filed by former Owens-Corning employees with a new ruling that the suit was filed too...

Merrill Lynch&Co. Inc. agreed Tuesday to pay $1.55 million to settle a lawsuit claiming discrimination in the firing of an analyst because he was an Iranian Muslim, Reuters...

Ringing out the old year, today the U. S. Department of Labor (DoL) has unveiled another final regulation.

Reserve Management might be facing enforcement action from the Securities and Exchange Commission (SEC) in connection with the failure of the firm's mutual fund.

The U.S. District Court for the Eastern District of Michigan has denied a motion to dismiss a case brought by participants of Ford Motor Co.’s employee stock ownership...

A bill signed into law by the president only provides relief from the mandatory distribution regulations for 2009.

The Internal Revenue Service (IRS) will allow investments in a Section 529 program to be changed on a more frequent basis in 2009.

And no, not in the way you may think.