Until recently, compliance with the Securities and Exchange Commission’s marketing rule held the top spot among investment adviser compliance officers, but that concern has been overtaken by another ...

"You could take this, go back to your clients and say, ‘Here's the lesson.’ You could repeat it verbatim," Tom Clark said Tuesday.

Rep. Vern Buchanan (R-Fla.) addressed delegates from around the country at the NAPA D.C. Fly-In Forum on Tuesday afternoon, thanking the retirement plan advisors in attendance for their work and ...

A new suit alleges that imprudent fund selection has cost participants in a 401 (k) more than $100 million. A new suit alleges that imprudent fund selection has cost participants in a 401 (k) more ...

The House Committee on Education and Workforce hosted a hearing on Tuesday to discuss EBSA’s use of common interest agreements (CIAs) and general enforcement practices. Two bills have been proposed to ...

Congressman Tim Walberg (R-Mich.) believes the Employee Benefits Security Administration (EBSA) is straying from its mission as an impartial regulator, “picking winners and losers” rather than working ...