Compliance

The Obama Administration on Monday released retirement initiatives, including establishing automatic individual retirement accounts (IRAs), simplifying and expanding the Saver's Credit, and updating 401(k) regulations to increase transparency.

A former Morgan Stanley institutional financial adviser has settled Securities and Exchange Commission (SEC) charges of securities law violations for not properly disclosing his conflicts of interest.

Broker/dealers and their reps confused about regulations regarding social networking might now have some answers.

An employee lawsuit filed against Spokane, Washington-based Sterling Financial has been dropped—and for a most unusual reason.

A Bensalem, Pennsylvania, law firm has announced it is considering filing a stock-drop lawsuit against State Street Corporation with potential claims of Employee Retirement Income Security Act (ERISA)...

The SPARK Institute has released the final version of its guidelines on Form 5500 Aggregation for multiple-vendor 403(b) plans.

A closely watched case involving the dismissal of a lawsuit alleging excessive 401(k) fees by Deere & Co. won’t get a hearing before the nation’s highest court.

Two teachers have filed a lawsuit against VALIC, claiming the firm misled them about purchasing annuities for their 403(b) accounts.

A Department of Labor (DoL) administrative law judge has rejected the appeal by a 401(k) plan administrator of an $86,500 civil penalty, ruling that bankruptcy did not relieve...

A federal judge in Massachusetts has rejected claims that a deceased 401(k) participant’s plan balance should have been paid to his estate instead of to his ex-wife, who...

The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) will host a free Webcast about Form 5500 and electronic filing requirements on January 21 at 1 p.m.

A class-action lawsuit has been filed against Spokane, Washington-based Sterling Savings Bank and its holding company, Sterling Financial Corporation, over company stock investments in the bank's 401(k) Plan.

Among the specialized units unveiled by the Securities and Exchange Commission (SEC) is a unit focusing on investigations involving investment advisers.

The U.S. Department of Labor (DoL) announced the publication of a final rule to protect employee contributions deposited to small pension and welfare benefit plans with fewer than...

The Securities and Exchange Commission (SEC) didn’t waste a breath in filing additional charges against Bank of America (BofA).