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Aon jumps into pooled employer plan market
The company will be one of the first provide the plan type outlined in the SECURE Act
TSP doubles target-date options for federal workers
Participants in the $557 billion Thrift Savings Plan will have many more target-date vintages available to them starting in July
Supreme Court limits SEC’s ability to mete out ‘financial ruin’ via disgorgement
The ruling upholds the agency's right to claw back ill-gotten gains as long as they’re from net profits of fraudulent schemes
Leading with ethics, in person and online
A recent study found advisers with more ethics training are one-fourth less likely to participate in unethical behaviors
Thomas Gira, head of Finra market regulation, dead at 58
The executive had worked at the Financial Industry Regulatory Authority Inc. for nearly three decades
Fintechs zero in on Reg BI as deadline looms
Technology providers are deploying tools to help advisers brace for new regulatory requirements
Court enters final judgment in fraudster Caplitz case
The sons of his partner were ordered to pay back almost $488,000
Rising global risks could challenge market exuberance
Threats to the equity rally include a COVID second wave, U.S.-China tensions and the prospect that central banks will wind down their stimulus efforts
Clayton’s possible departure unlikely to disrupt Reg BI
The SEC chair has placed much political capital into reforming the agency's rules
The push to allow CITs in 403(b)s
A bipartisan bill to amend the Internal Revenue Code hints at more attention to the issue, according to a report from Morningstar
Supreme Court limits power of SEC to recoup illegal gains
The ruling came in a lawsuit brought by a California couple ordered to pay $27 million after being found to have defrauded investors
IRS provides expanded tax breaks for coronavirus-related distributions
The guidance allows more people to withdraw funds penalty-free from their retirement savings
SEC Chairman Clayton advised to drop bid for U.S. attorney
The dispute between Attorney General Barr and Geoffrey Berman has cast a shadow over Clayton's nomination for the position
Opening defined-contribution plans to private equity is a mistake
U.S. regulators dropped the ball in a recent letter clarifying that regulations do not prohibit the use of private equity funds in 401(k) plans
Trump to nominate SEC Chairman Clayton as U.S. Attorney in New York
Jay Clayton would replace Geoffrey Berman, who is exiting after 2½ years in the job
Borzi challenges SEC to use Reg BI to attack revenue sharing conflicts
The architect of the DOL fiduciary rule remains skeptical of the SEC measure
Benefits administrators plead guilty to $15 million embezzlement
The Texas couple made 90 unauthorized distributions from pension and retirement plans they ran
SEC nominee Crenshaw brings deep knowledge of agency, Reg BI
The Democratic choice is likely to be paired with Republican Hester Peirce in the confirmation process
Finra board approves enforcement tech upgrade
The panel also advanced a proposal to target exam cheating and pledged to increase the diversity of its membership
After almost a decade of fighting, the SEC and Ray Lucia finally settle
The 'Buckets of Money' adviser can apply to work in the securities industry again
