Search results for: the blank effect

The Financial Industry Regulatory Authority’s latest report offered advisers best practices for strengthening their compliance with security regulations.

A district court in New Jersey ruled that the plaintiff lacked standing for certain claims, but there is a chance the case will be resurrected.

The committee has once again urged the Department of Labor’s Office of Inspector General to investigate claims that the Employee Benefits Security Administration disclosed confidential plan information to...

Plan fiduciaries should consider third-party audits, multi-factor authentication, cyber insurance and more when developing a written cybersecurity policy.

Nationwide’s president and COO announces retirement; Alera Group appoints a new director of retirement adviser services; T. Rowe Price hires an institutional business development executive; and more.

A presidential executive order issued Monday led to the withdrawal of rules that had not yet been published in the Federal Register.

According to experts at T. Rowe Price, plan sponsors should anticipate policy updates and possible litigation reforms in 2025.

ERIC argues the final rule goes beyond the authority federal officials have under the mental health parity law’s authority.

The regulator determined that the firm failed to provide accurate details regarding the capital gains and tax consequences associated with a change in investment minimums. 

The regulation aims to strengthen protections for employees in stock ownership plans

NFP’s annual benefits report also found, however, a trend of some employers too often putting that mental health support within other benefit areas.

The SEC has charged nine investment advisers and three broker/dealers for violations of federal recordkeeping laws.

Vestwell will power FutureStep by John Hancock, an open-architecture retirement plan offering.

Pension plans saw improved funding status at the end of 2024, with rising discount rates triggering a decrease in pension liabilities. 

Trading activity stayed subdued last month, with only two above-normal trading days recorded.

The market for 401(k) plans with less than $5 million in assets is poised to hit 1 million plans by the end of the decade, with wealth advisers poised...

In other news, the Institutional Retirement Income Council named Kreps of Groom Law as chair of its board of directors.