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Tagged with "Department of Labor"

DOL Proposal on Alternative Assets in 401(k)s Faces Cautious Reception

Posted on April 21st, 2026 at 2:33 PM
DOL Proposal on Alternative Assets in 401(k)s Faces Cautious Reception

The Department of Labor proposed a rule to expand access to alternative investments in 401(k) plans, with adoption hinging on employer appetite for risk.

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Department of Labor Sued Over Illegitimate Deferred Compensation Opinion Letter

Posted on October 31st, 2025 at 10:13 AM
Department of Labor Sued Over Illegitimate Deferred Compensation Opinion Letter

Three former Morgan Stanley advisors filed suit this week against the U.S. Department of Labor (DOL), claiming the agency exceeded its authority and was unduly influenced when it issued an advisory opinion that sought to undermine their deferred compensation claims.

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LATEST NEWS AND ARTICLES

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September 3, 2026
Texas Investment Adviser Faces Washington State Charges Over Misleading Crypto Portfolio Claims

Washington state securities regulators have charged an Austin, Texas registered investment adviser (RIA) and its founder with making misleading statements about the risks tied to one of its model portfolios, which invested heavily in crypto-backed products and volatile exchange-traded funds, according to InvestmentNews.

1788376975 Law
September 2, 2026
Lakers Owner Sells Team for Record $12.5 Billion Amid Federal Probe

Guggenheim Partners CEO Mark Walter has sold his majority stake in the Los Angeles Lakers just as federal regulators investigate potential financial improprieties at insurance and annuities companies that he owns, InvestmentNews reports.

1788292150 Law
September 1, 2026
FINRA Proposes New Rules to Fix Unpopular Arbitrator Selection Process

The Financial Industry Regulatory Authority (FINRA) wants to change how it selects arbitrators when its standard process fails to produce enough available panelists.