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Labor poised to issue 401(k) fee disclosure regs
The Labor Department is close to issuing the first of several regulations governing disclosure of 401(k) fees and expenses.
Supremes hear muni bond case
The Supreme Court was scheduled to hear oral arguments Nov. 5 in a case that could affect Section 529 college savings plans.
Suit takes on state tax breaks for 529 plans
A class action is pending in Illinois that challenges the legality of giving tax breaks to residents who invest in Illinois’ 529 college savings program but not other states’ plans.
Arguments scheduled in muni bond case
Oral arguments are scheduled for Nov. 5 before the U.S. Supreme Court in a case that could affect 529 college savings plans.
Changes possible for principal-trading rules
The SEC is expected soon to consider a staff proposal that would ease restrictions on principal trading in nondiscretionary advisory accounts.
Supreme Court to consider muni bond case
The U.S. Supreme Court plans to hear a case this fall that could affect 529 college savings plans.
Suit takes on state tax breaks for 529 plans
A class action recently was filed in Illinois that challenges the legality of giving tax breaks to residents who invest in Illinois’ 529 college savings program but not other states’ plans.
SEC holds roundtable on 12b-1 fees
Securities regulators recently hosted a daylong roundtable to discuss mutual funds’ use of 12b-1 fees.
Supreme Court to consider muni bond case
The U.S. Supreme Court recently said that it would hear a case this fall that could affect Section 529 college savings plans.
Suit takes on state tax breaks for 529 plans
A class action recently was filed in Illinois that challenges the legality of giving tax breaks to residents who invest in Illinois’ 529 college savings program but not other states’ plans.
SEC holds round table on 12b-1 fees
Securities regulators recently hosted a daylong round table to discuss mutual funds’ use of 12b-1 fees.
Discussion on retirement plan advice planned
A public hearing is scheduled for July 31 that will focus on one aspect of providing investment advice to participants of 401(k)s and similar plans as allowed under the Pension Protection Act.
Proxy-rule proposal expected soon
SEC Chairman Christopher Cox said his agency plans this month to unveil a proposal addressing shareholder rights and proxy voting.
Supreme Court to consider muni bond case
The U.S. Supreme Court recently said that it would hear a case this fall that could affect 529 college savings plans.
Suit takes on state tax breaks for 529 plans
A class action recently was filed in Illinois that challenges the legality of giving tax breaks to residents who invest in Illinois’ 529 college savings program but not other states’ plans.
SEC holds round table on 12b-1 fees
Securities regulators last month hosted a daylong round table to discuss mutual funds’ use of 12b-1 fees.
Supreme Court to consider muni bond case
The U.S. Supreme Court said last month that it will hear a case this fall that could affect 529 college savings plans.
Proxy-rule proposal looms
A proposal that would address shareholder rights and proxy voting is in the pipeline at the Securities and Exchange Commission.
SEC plans round table on 12(b)-1 fees
Securities regulators recently said they will hold a June 19 round table to discuss mutual funds’ use of 12(b)-1 fees.
Vote delayed on STOLI changes
The National Association of Insurance Commissioners has delayed a vote on its proposal to further limit the use of stranger-owned life insurance, according to published reports.
