Employee Retirement Income Security Act (ERISA)

This is the Department of Labor's 2015 proposal revising the term fiduciary duty under ERISA.

A SIFMA commissioned study released March 16 challenges figures in the White House’s report on the Department of Labor’s proposed retirement regulation and questions the ...

Months may pass before you get a look at the Department of Labor’s revised proposal to redefine a fiduciary under ERISA but the battleground is ...

      Securities Act of 1933 — Rule 482 American Retirement Association February 18, 2015 Response of the Office of Chief Counsel Division of ...

An easy out for many compliance staff given the duty to train firm employees on gifts and entertainment rules is to adopt the lowest regulatory ...

Last week, the Department of Labor put out a request for industry comment on the use of so-called brokerage windows in 401(k) and other ERISA ...

The Department of Labor may wish to develop "widely accepted benchmarks or other comparison tools" to help ERISA plan sponsors select investment managers, according to ...

A clear message to the Department of Labor from industry groups about the agency's proposed rule requiring a "guide" to adviser and other service providers' ...

Mark Davis owes his new CCO job to a three-year dispute his employer, DeWaay Capital Management ($185M in AUM) in Johnston, Iowa, had with the ...

A new proposed rule released last week by the Department of Labor would require advisers and broker-dealers to create a "guide" to make it easier ...