Regulation

The regulator's proposal is set to remake compliance standards for brokers and advisors.

With a recent uptick in 401(k) related lawsuits, employers should take concrete steps to help participants while giving their company the fullest extent of protection possible against potential litigation.

Susan Clausen describes the DOL’s ERISA mandate for a retirement plan committee and the challenges such committees face in fulfilling their role.

Absent for nearly a decade, these first two opinion letters address payments under the federal Consumer Credit Protection Act and FMLA.

Whether the broker acts as a fiduciary making a recommendation will depend upon the circumstances of the particular recommendation and their client.

At a broker conference, Senate Majority Leader Mitch McConnell and Democratic Whip Steny Hoyer give the impression that the internecine battle over healthcare is over for 2018.

DOL regulations provide certain welfare plans relief from the annual review requirement, but non-compliance for applicable employers can come with hefty fees.

At a broker conference, Senate Majority Leader Mitch McConnell and Democratic Whip Steny Hoyer give the impression that the internecine battle over healthcare is over for 2018.

New rules would set standards of conduct for brokers, require new disclosures and offer interpretive guidance for fiduciary advisors.

New rules recognize the fact that commission-based transaction services can be the most cost effective way for Main Street investors to receive financial advice.