Compliance

A court has found questions exist about whether a privately-held company had a duty to disclose a contemplated merger to ESOP participants who sold company stock shares.

The latest court order culminates six years of investigations and three years of legal battle.

The Form 5500 filing deadline is July 31 for calendar year-end retirement plans.

President Obama has asked the DOL for guidance by the end of the year.

A federal court has found a retirement plan participant’s plan balance can be garnished for money owed to the U.S. government.

In a Field Assistance Bulletin, the DOL answers questions it has received about the fiduciary selection safe harbor regulation for DC plans.

The free event will cover how updates to the IRS correction program make fixing certain retirement plan failures easier.

In the long-running Tussey v. ABB lawsuit, a court found ABB breached its fiduciary duties, but a procedural error by plaintiffs handed ABB the win.

The plan’s recordkeeper refused to make distributions after the former plan fiduciary changed each participant’s address to his own.

Legislation in Connecticut will protect transferred pension assets from creditor claims.

Effective July 9, DB plan sponsors may no longer offer a lump-sum window to participants who have begun receiving installments.

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.

The Department of Labor has filed an amicus brief weighing in on a court case regarding a plan’s ‘top hat’ status.

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...

Seven years after IRS regulations were implemented, 403(b) plans still have trouble with compliance.

An HR director from Vanderbilt University shared tips from her IRS 403(b) plan audit experience with attendees of the NTSA 403(b) Summit.

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.

The reverse stock drop case Tatum v. RJR Pension Committee has been turned down by the Supreme Court.