Regulation and compliance
Regulation and compliance
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In a move that reversed the court’s own previous ruling, an 11-judge panel held that a woman’s salary history can never be used as a basis for paying her less.
May 8 -
Members of the Independent Insurance Agents & Brokers of America met in Washington D.C. to lobby Congress.
May 8 -
With the rescue attempt's failure, all eyes now turn to the SEC which is considering its own proposal for raising financial advisor standards of conduct.
May 4 -
In a move that reversed the court’s own previous ruling, an 11-judge panel held that a woman’s salary history can never be used as a basis for paying her less.
May 4 -
A $50 deduction was announced due to a change in the inflation adjustment calculations for 2018 under the Tax Cuts and Jobs Act.
May 3 -
The regulator's proposal is set to remake compliance standards for brokers and advisors.
May 3 -
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.
May 2 -
The regulator's proposal is set to remake compliance standards for brokers and advisors.
May 2 -
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.
May 1 -
Susan Clausen describes the DOL’s ERISA mandate for a retirement plan committee and the challenges such committees face in fulfilling their role.
April 30 -
Absent for nearly a decade, these first two opinion letters address payments under the federal Consumer Credit Protection Act and FMLA.
April 26 -
Whether the broker acts as a fiduciary making a recommendation will depend upon the circumstances of the particular recommendation and their client.
April 26 -
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.
April 26 -
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.
April 24 -
New rules would set standards of conduct for brokers, require new disclosures and offer interpretive guidance for fiduciary advisors.
April 24 -
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.
April 23 -
Susan Clausen describes the DOL’s ERISA mandate for a retirement plan committee and the challenges such committees face in fulfilling their role.
April 23 -
The trend of states and jurisdictions enacting paid sick leave requirements continues, posing compliance challenges for multistate employers.
April 20 -
The High Court's recent ruling may spell relief for some employers on overtime compensation.
April 19 -
To qualify for tax credits, an employer must have a written policy that provides at least two weeks of paid leave for employees.
April 19













