The Client: ERISA plans/institutional management
December 27, 2018
Oregon Ready to Help Other States Set Up Auto-IRA Programs
The state’s OregonSaves program has signed up 48,000 employees since launching in July 2017.
December 17, 2018
Edward Jones 401(k) Lawsuit Settlement Leaves Little More than $10 Payouts for Some Participants
Yet the attorneys might receive more than $1 million.
Last Comment: December 17, 2018
December 4, 2018
Warning to FAs: IRA Rollovers Are in Regulators' Crosshairs
Some advisors go as far as treating rollovers as if the Department of Labor’s fiduciary rule were still in effect.
November 12, 2018
DOL Proposes Auto-Portability for 401(k) Plans
The proposal is aimed at preventing of “leakage” from the plans when employees change jobs.
November 8, 2018
Despite Its Death, Here's How the DOL Rule is Still Causing FAs to Change Their Ways
Majority of advisors say they’re likely to make changes as a direct result of the rule.
November 6, 2018
UBS Zeroes in on FAs Serving Small 401(k) Plans
The move is expected to drum up more business for UBS’s reps.
October 22, 2018
Forget the DOL Rule or the SEC's Reg BI... Financial Literacy is Key to Protection, RBC Advisor Says
FT 401 advisor says the first line of defense of retirement plan participants are their plan sponsors.
October 19, 2018
DOL Rule Saga Isn't Over... Agency Plans Roll Out of a Final Fiduciary Rule Next September
The agency plans to revise the final regulation in light of the Fifth Circuit’s decision to vacate the rule this spring.
Last Comment: June 21, 2019
September 4, 2018
As Merrill Lynch Reverses Ban, Investors Urged to "Steer Clear" of Commission-Based Accounts
Consumer advocate believes investors need to proactively look for fee-based advisors.
Last Comment: September 7, 2018
August 30, 2018
More LPL FAs Can Now Serve as 401(k) Fiduciaries
The firm is relaxing some of the requirements, such as the minimum number of defined-contribution plans and years of experience.