Compliance

The dollar amount secured by the DOL’s Employee Benefit Security Administration dropped substantially in 2014 compared with the previous year, despite a higher number of cases closed and...

In Amara v. CIGNA Corp., an appellate court has once again agreed that a change in plan terms is an appropriate remedy for plan misrepresentations.

The Department of Labor’s Employee Benefits Security Administration says it restored over $599.7 million to employee benefit plans and participants last year.

A lawsuit claims fiduciaries to Avon Products defined contribution plan violated their duties to participants by...

FINRA’s Annual Regulatory and Examination Priorities Letter highlights issues of importance to FINRA's regulatory programs.

An SEC filing reveals that RadioShack is facing several lawsuits over the company stock investment offering...

Morgan Stanley on Monday began advising certain wealth management clients that an employee had stolen partial client data.

A bill establishing the Illinois Secure Choice Savings Program has been signed into law.

A federal district court has found the defined benefit (DB) retirement plan of Advocate Health Care Network and its subsidiaries is not a “church plan” under the Employee...

A federal district court has denied Boeing’s request for summary judgment on the merits of Spano vs. The Boeing Company, a long-running excessive 401(k) fee case.

The United States Supreme Court will hear arguments in the closely watched 401(k) fee litigation case Tibble v. Edison near the end of February.

The new PBGC Participant and Plan Sponsor Advocate has released her first annual report of issues.

The U.S. Department of Treasury maintains the view that its myRA program is not subject to the extensive reporting, disclosure, fiduciary duty or other requirements of ERISA. 

A new rule for retirement plan distributions makes way for high earners to get into Roth IRAs.

A federal appellate court has sent a case back to a district court because the district court’s decision was made before a significant U.S. Supreme Court ruling.

The IRS has provided answers to questions received about the new single-distribution rule for rollovers from retirement plans.

The GAO recommends an alternative to rolling over small retirement plan balances to individual retirement accounts...

The investment management firm F-Squared Investments has agreed to pay $35 million and admit wrongdoing to settle fraud charges brought by the Securities and Exchange Commission (SEC).

An updated IRS web page tells retirement plan sponsors how to correct the mistake of using...

The Internal Revenue Service offers one-page checklists to help with reviewing retirement plan operations.