Regulation

Displaying 9748 results

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Reg BI promotes same standard of care across advice models: SEC’s Clayton

'I think it’s going pretty well,' he said about the first four months since implementation

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Bill would let 403(b)s use PEPs

There could be even more demand for pooled employer plans from nonprofit organizations than from the for-profit side

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Planning for uncertainty around Social Security

The shutdown caused by the pandemic threw millions of people out of work, which cut into the FICA payroll taxes that fund Social Security payments

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How secure is Social Security?

Advisers will need to act to help clients navigate what is potentially a looming financial crisis

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Court in Colorado enters judgment against Ponzi schemer

Daniel Rudden of Denver had received a 10-year sentence in a parallel criminal case

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401(k) plans should allow cross selling: Report

Hearts & Wallets report finds participants want advice that their employer-sponsored plans simply can't provide

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JPMorgan Chase creates small-business 401(k) plan

The new offering will use SS&C Technologies as record keeper and the investments are J.P. Morgan products

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Wells Fargo fires more than 100 workers for abusing federal aid program

Staffers made 'false representations' when they applied for a coronavirus loan program, according to a Wells memo

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Nestle sued over its 401(k)

A class-action lawsuit alleges excessive record-keeping and managed account fees

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Advisers should keep an eye on state laws and regulations

Taxes on the industry, fiduciary rules and independent contractor status are among the regulatory issues at the state level