Compliance

The U.S. Department of Labor (DOL) issued a request for information (RFI) about the use of brokerage windows, self-directed brokerage accounts, and similar features in 401(k)-type retirement plans.

Sponsors of terminated defined contribution (DC) plans can use new guidance from the Department of Labor (DOL) to satisfy the regulator’s expectations for finding and paying missing participants.

A new report from the U.S. Congress’ Joint Committee on Taxation offers a glimpse into the federal government’s perception of the tax benefits associated with retirement planning.

The Puerto Rico Treasury Department has issued guidance on tax prepayment windows for retirement plans, according to a brief from the Groom Law Group.

Fidelity Investments has agreed to a settlement of two lawsuits charging it with subjecting its own 401(k) plan participants to high investment fees.

GRQ Investment Management alleges in a new lawsuit that Financial Engines, Inc. and its subsidiary advisory firm, violated two patents related to digital investment advice and managed accounts.

A federal court has found a wealth accumulation plan (WAP) offered to executives of RBC Capital Markets Corporation is a “pension plan” under the Employee Retirement Income Security...

A well-known 401(k) fee litigation firm has asked the U.S. Supreme Court to review key pieces of an appellate court’s decision in Tussey v. ABB, Inc.

Charles David Snyder, fiduciary to the Cleveland-based Attevo 401(k) retirement plan, has been ordered by a judge to restore $143,481.42 to the plan.

A lower court applied the wrong standard when determining that R.J. Reynolds Tobacco Company (RJR) proved its fiduciary breach did not cause losses to retirement plan participants, an...

The complexity of Social Security benefit formulas and insecurity about the program’s solvency make it difficult for individuals to factor it into their retirement income planning.

The Internal Revenue Service (IRS) will host a defined benefit plan termination webinar on August 14 at 2 p.m. Eastern Standard Time.

Annual filings always bring a swirl of activity, and July 31 is no different. It also brings a cloud of confusion for plan sponsors, according to Form 5500...

The Department of Labor’s Employee Benefits Security Administration (EBSA) will conduct a webcast for small businesses and their retirement benefit services providers on August 6.

The Social Security Board of Trustees reports the combined asset reserves of the Old-Age and Survivors Insurance, and Disability Insurance (OASDI) Trust Funds are projected to become depleted...

The Senate’s Health, Education, Labor and Pensions (HELP) Committee advanced a bill seeking to better define rules for protecting pension assets when companies downsize or close.

New Securities and Exchange Commission (SEC) rule amendments establish structural and operational reforms aimed at addressing “run risks” in money market funds.

Choosing the right share class needs careful consideration as the Department of Labor (DOL) is paying more attention to investment menu options.

The Defined Contribution Institutional Investment Association (DCIIA) encourages plan sponsors and advisers to take steps to provide lifetime income solutions to their retirement plan participants based on new...

A federal appeals court has revived a stock drop case, filed against oil company BP Plc, based on a new precedent set by the U.S. Supreme Court.