Regulation

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  1. SEC pay-to-play critics get their day in court

    trueRepublican state committees in New York and Tennessee asked a federal appeals court in Washington on Monday to overturn the Securities and Exchange Commission’s pay-to-play rule.

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  1. SIFI designation could increase innovation, too

    trueWhile the categorization of certain large, global money managers and some investment funds as systemically important financial institutions might increase costs, it also could increase innovation in the industry.

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  2. Broader SIFI designation has managers scrambling

    trueA number of large, global money managers are at risk of increased costs and competitive disadvantage if current proposals by global regulators to categorize them as systemically important financial institutions come to fruition.

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  3. ICE Futures U.S. pays $3 million in CFTC settlement

    trueICE Futures U.S. reached a $3 million settlement with the CFTC over charges that the global futures and options exchange submitted false and incomplete reports and data to the agency for at least 20 months.

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  4. Obama puts weight behind push for fiduciary standard

    trueWith President Barack Obama now leading the charge, a multiyear battle to update a fiduciary standard for anyone giving retirement investment advice has defined contribution plan executives and service providers bracing for big changes.

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  5. http://www.pionline.com/article/20150304/ONLINE/150309941/-1/ramp//

    trueLitigation, regulation, legislation and some consternation emerged as dominant themes at the annual Pensions & Investments' East Coast Defined Contribution Conference, held March 1-3 in Miami.

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  6. Obama pushes for new fiduciary standard

    truePresident Barack Obama called for a new fiduciary standard proposal from the Department of Labor to protect middle-class retirement savers that he said are being hurt by some advisers' conflicts of interest.

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  7. Settlements offer lessons in breach suits

    trueAs sponsors and service providers continue settling ERISA fiduciary breach lawsuits, the rest of the defined contribution industry is taking careful notes.

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  8. Company stock option fading from 401(k) plans

    trueCompany stock in defined contribution plans continues to shrink as a percentage of assets, plans offering the option and participants investing in it, recent research and surveys show.

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  9. Fitch: GASB 67 a mixed bag for public pension funds

    trueSome public pension funds are reporting higher asset values under GASB 67 because of strong returns in recent years, said a new report from Fitch Ratings.

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  10. Government subsidies are a deal-breaker for clean energy investors

    trueOne factor holding back widespread investment in clean technology is the need for government subsidies.

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  11. FSOC moves toward more transparency

    trueThe Financial Stability Oversight Council agreed Wednesday to bring more transparency to its process for determining whether non-bank financial institutions are systemically important to the country’s financial stability.

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  12. DOL rule for plan funding notices applies to single-employer plans for first time

    trueSingle-employer defined benefit plan sponsors covered by ERISA have new guidelines for annual funding notices in a final rule published Monday by the Department of Labor's Employee Benefits Security Administration.

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  13. Plan funding notices to apply to single-employer plans for first time; final rule expected Feb. 2

    trueSingle-employer defined benefit plan sponsors covered by ERISA will have new guidelines for annual funding notices when the Department of Labor's Employee Benefits Security Administration publishes a final rule Feb. 2.

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