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Regulation & Compliance

Money Funds Welcome Fed’s Reverse Repos

March 9, 2010 - The Federal Reserve has expanded its universe of sources of reverse repos beyond primary dealers to include money market funds.

Capital Fulfillment Offers Summary Prospectus Tool

March 9, 2010 - ClickOne uses patented technologies used by 17 million end users around the world.

IRA Minimum Distribution Requirements Likely to Return This Year

March 8, 2010 - In 2009, Congress suspended required minimum distributions for people age 70-1/2 because the stock market took such a toll on balances.

Caterpillar, Hartford Life 401(k) Fee Cases Give Workers Pause

March 8, 2010 - Another pending case, against Wal-Mart, has also empowered workers to ask their employers to offer lower-cost funds.

Biden Unveils New DOL Advice Rule

February 26, 2010 - The Middle Class Task Force’s “Improvements to Retirement Security” also aim to bolster IRA participation.

Madoff 401(k) Funds Being Used to Terminate Plan

February 26, 2010 - Former employees of the disgraced firm are burning mad at the benefits consulting firm tapping into their retirement money.

Ban on Upfront Fees Brings India Fund Sales to a Standstill

February 26, 2010 - Advisers and brokers are uncomfortable asking investors to pay a separate upfront load and have virtually stopped selling mutual funds.

Connecticut May Reintroduce Hedge Fund Bills

February 23, 2010 - The state’s general assembly is holding a hearing on Thursday.

Financial Institutions Not Prepared for Cost-Basis Rule

February 22, 2010 - TowerGroup foresees a surge in inquiries about the cost-basis rule that mutual fund customer service departments will be woefully unprepared to handle.

RR Donnelley Releases Prospectus iPhone App

February 12, 2010 - The application can also transmit statements of additional information to investors via their iPhone.

DOL Readying New 401(k) Advice Rules

February 3, 2010 - The proposed rules are streamlined, underscore the sponsor's fiduciary duty under ERISA and are currently under review at OMB.

Treasury, Labor Dept. Issue RFI on Annuities in 401(k)s

February 2, 2010 - The government agencies want to know the benefits and the drawbacks of receiving retirement income in installments.

ETF Council to Launch Next Month

January 28, 2010 - PR veteran Irving Straus is behind the new trade organization.

Primary Fund Readies $3.4 Billion Distribution

January 28, 2010 - The Reserve fund is holding onto $160 million to cover legal fees and management costs.

Transparency Bigger Concern to Hedge Fund Investors than Performance

January 25, 2010 - Liquidity risk has also become more top-of-mind.